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Tag: beneficial ownership

four birds

Four New Enforcement Themes Emerge at SEC

four birds

Last month, we highlighted some of the significant trends in enforcement at the Securities and Exchange Commission as the agency’s fiscal year drew to a close. We’ve picked up on four new enforcement themes since then that are worth monitor...

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Highlights of the New SEC Rulemaking Agenda

Reflective disco balls hanging from a ceiling

Reflecting what Chair Gary Gensler described as a “need to modernize our ruleset, moving deliberately to update our rules in light of ever-changing technologies and business models in the securities markets,” the Securities and Exchange Com...

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Twitter Investment Could Get Elon Musk in More Trouble with SEC

Twitter bird perched on branch

It’s always something with Elon Musk, isn’t it? Once heralded as a visionary innovator, the CEO of Tesla Inc. and SpaceX now appears more interested in burnishing a reputation as a social provocateur. As his personal fortune has grown, the...

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A Bubble on the floor

Could SEC’s Beneficial Ownership Proposal Kill Off Activist Investing?

A Bubble on the floor

How long should investors be allowed to wait before alerting the market that they have taken significant equity stakes in publicly traded companies? According to the Securities and Exchange Commission, the current grace period of 10 days is...

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