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Tag: sec

An ocean wave in black and white

ESG-Focused Activist Investors to Get Even More Active in 2022

An ocean wave in black and white

Not so long ago, the term “activist investor” conjured up images of famed corporate raiders like Carl Icahn. It didn’t matter if corporations were receptive to their involvement or not. They bought significant stakes in companies, put the s...

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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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Cracked bandage concealing insider trading

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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