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Category: SEC

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Five Cs for Companies to Watch in 2022

Vaccine seeker scanning horizon with binoculars

Meme stocks, the “gamification” of securities trading, and, of course, the COVID-19 pandemic continuing to create chaos were just a few of the stories that ultimately defined 2021 in the corporate world. At least one of those doesn’t look l...

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SEC Proposes Stricter Rules on 10b5-1 Plans and Stock Buybacks

Cracked bandage concealing insider trading

Back in August, we told you about the unvarnished disdain Securities and Exchange Commission Chair Gary Gensler showed for so-called 10b5-1 plans. These plans enable corporate executives to create schedules for trading stocks in the future....

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What Does Gary Gensler Have Against SPACs?

Iridescent seashell shimmering in the sunlight

The growth of special-purpose acquisition companies – commonly known as SPACs – represents one of the investing world’s biggest stories in recent years. According to Securities and Exchange Commission Chair Gary Gensler, initial public offe...

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SEC Looking Out for Abuses of ‘Spring-Loaded Compensation’

Spring-loaded wheels with clawback mechanism and scooter in background

“Spring-loaded compensation awards.” It just sounds cool, right? And if you’re a corporate executive, it is indeed. Spring-loaded awards refer to executive pay sweeteners in which companies provide the recipients with stock options in the b...

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Securities and Exchange Commission Gets Active on Voting Rights

Men Wrestling at a Match like Board of Directors Fighting

With the most recent census and elections complete, legislatures in the 50 states have been digging into redistricting fights and other contentious voting rights matters. This month, the Securities and Exchange Commission decided to join th...

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