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Category: SEC

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Department of Justice Gets Touchy Over Corporate Enforcement Record

Optical illusion where the viewer may see a line of white columns, a line of black silhouettes of women, or both

In his 2020 book “Numbers Don’t Lie: 71 Things You Need to Know About the World,” Canadian data scientist Vaclav Smil writes: “Numbers may not lie, but individual perceptions of them differ.” In other words, while hard data itself may be in...

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A heap of debris

SEC Issues New Crypto Guidance in Wake of FTX Mess

A heap of debris

This year, cryptocurrency exchange FTX joined companies like Enron and Lehman Brothers on the list of infamous corporate implosions. As Wall Street and legal authorities continue to sort through the rubble, the Securities and Exchange Commi...

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SEC is ready to swat down Form 10 K

SEC Digs Deeper on Inflation Impacts

SEC is ready to swat down Form 10 K

“Inflation is negatively impacting our business.” As the prices of goods and materials continue to rise worldwide, a growing number of companies are adding some variation of this self-evident statement to their mandatory financial reporting...

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Judge's Gavel Sitting on American Dollar Bills: SEC using fines as deterrence

‘Deterrence’ is the SEC’s New Buzzword

Judge's Gavel Sitting on American Dollar Bills: SEC using fines as deterrence

Securities and Exchange Commission Chair Gary Gensler has made enforcement a well-publicized priority of his tenure. A new point of emphasis, deterrence, has apparently spun off from those efforts to show the business world the financial co...

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Investing in mutual funds with a click.

Investment Managers Should Brace for Enhanced Proxy Vote Reporting

Investing in mutual funds with a click.

For nearly 20 years, mutual funds have been required to report to the public on the proxy votes they cast at annual shareholder meetings. The Securities and Exchange Commission now wants even more information about those votes. The SEC anno...

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