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Tag: sec

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Court Ruling Puts Kibosh on Share Repurchase Disclosure Rule

Poodle on hold with red, rotary phone

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...

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As ESG Pledges Continue to Rise, Who is Keeping Track?

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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...

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SEC Touts Gains in Enforcement Actions in 2023

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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...

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SEC Uses ‘Swiss Army’ Statute in $25 Million Fine for Violations on Stock Buybacks

Swiss Army knife as multi-use tool

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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Cyber Risk Disclosures in Crosshairs as SEC Charges SolarWinds with Fraud

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CISOs are on alert as SEC steps up enforcement on cyber breach disclosures The Securities and Exchange Commission has left some cybersecurity professionals and chief information security officers “spooked” following news that the agency in...

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