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Category: SEC

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Four New SEC Examination Priorities to Spice Up 2023!

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If you’re familiar with annual previews from government agencies, you know they’re about as exciting as an instruction manual. They generally follow a boilerplate format that includes familiar discussions of how their plans for the coming y...

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The Activision Blizzard Case, Part II: Whistleblower Protections

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Earlier this week, we told you about the potential ramifications for disclosure controls stemming from the Securities and Exchange Commission’s $35 million settlement with video game maker Activision Blizzard. Prospective whistleblowers – a...

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The Activision Blizzard Case, Part I: Disclosure Controls

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“Mission creep” is one of those nebulous concepts that government watchdogs love. Originating in military strategy, the term generally refers to an agency or office expanding its focus beyond its own stated purpose. It comes to mind when st...

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Crenshaw Goes on the Offensive Against Reg D

Invisible fraud: Illusionist holds canvas, blending into pier

What do WeWork, Theranos and FTX have common? Aside from being some of the biggest corporate boondoggles in recent history, they all managed to raise substantial equity financing without going public. And if you think that defeats the purpo...

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ESG Hits a New Snag as Climate-Disclosure Rules Come Under Fire

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After years of gaining momentum, ESG programs, socially responsible investing and climate-related regulation have encountered legitimate setbacks in the United States lately. On Wall Street, ESG funds had a miserable year in 2022. New clien...

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