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Category: SEC

Polluted Factory: ESG Environmental Impact

A Farewell to Principles-based Disclosure?

Polluted Factory: ESG Environmental Impact

A changing of the guard in the White House means new faces in high-profile places throughout the executive branch. At the Securities and Exchange Commission, chairman Jay Clayton, an appointee of the outgoing president, has already announce...

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A Fork on the Road around a hill

New Rules for Proxy Advisors Divide Issuers, Investors

A Fork on the Road around a hill

Is polarization coming to the financial markets? You might think so after hearing the divided reaction to the SEC’s new rules for proxy advisory firms, which passed at an open meeting of the commission last week. Proxy advisory firms, as ou...

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Apple products in the hardware aisle

Issuers Go DIY on Environmental Regulation

Apple products in the hardware aisle

In a movie from a more innocent age, Tom Cruise, playing sports agent Jerry Maguire, pleads with a self-absorbed client: “Help me help you.” In a nutshell, that summarizes the pitch just made by investors with nearly $1 trillion in assets t...

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Disclosure Describes Strings Attached to PPP Funds

Disclosure Describes Strings Attached to PPP Funds

Disclosure Describes Strings Attached to PPP Funds

The Paycheck Protection Program provided a welcome lifeline to businesses in the midst of the pandemic. But for companies that have cashed their PPP checks, including many public ones, it also presents serious risks. Just ask them. Issuers...

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Black belt (martial arts) laid out on dojo floor with students

SEC Takes Down Steven Seagal, ETF Applicants in Crypto Confrontations

Black belt (martial arts) laid out on dojo floor with students

The Securities and Exchange Commission was out for justice recently when it came calling on action movie star Steven Seagal. The “Half Past Dead” leading man found out that even he wasn’t above the law when it comes to cryptocurrency regula...

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