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Category: SEC

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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The Great SPAC Liquidation

Not so long ago, everybody couldn’t wait to get a piece of special purpose acquisition companies, more commonly known as SPACs. The hoopla enticed celebrities such as media mogul Jay-Z, tennis star Serena Williams and even former President...

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