Tag: sec
SubscribeSEC’s New Regulatory Agenda Goes Back to the Future
The Securities and Exchange Commission is welcoming 2024 by making what was old new again. In its updated regulatory agenda released on December 6, 2023, the agency included big-ticket items that headlined agendas in previous years, such as...
Read MoreCourt Ruling Puts Kibosh on Share Repurchase Disclosure Rule
A decision by the Fifth Circuit Court of Appeals has resulted in the Securities and Exchange Commission’s Share Repurchase Disclosure Modernization Rule being put on hold. But why? A reasonable explanation to the layperson would be that eve...
Read MoreAs ESG Pledges Continue to Rise, Who is Keeping Track?
Climate-related pledges have been all the rage the last few years, with governments and corporate leaders publicly and emphatically stating their commitments to environmental, social and governance (ESG) practices. However admirable, these...
Read MoreSEC Touts Gains in Enforcement Actions in 2023
As we prepare to flip the calendar to 2024, the tidal wave of announcements from federal agencies celebrating their yearly accomplishments has already started. The annual inundation of statistics often feels like a competition to see which...
Read MoreSEC Uses ‘Swiss Army’ Statute in $25 Million Fine for Violations on Stock Buybacks
Companies that alter their trading plans outside guidelines authorized by their boards should beware of the risk of heightened regulatory scrutiny from the Securities and Exchange Commission. The agency on November 14 announced that Charter...
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