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Tag: sec

Will SEC Disclosure Request Keep Offerings on the Shelf?

Will SEC Disclosure Request Keep Offerings on the Shelf?

Will SEC Disclosure Request Keep Offerings on the Shelf?

The Great GameStop Affair of 2021 is quickly growing into more than just a piece of pop culture esoterica. Just a few weeks after frenetic trading of the retail chain’s stock grabbed headlines, the episode is already impacting public policy...

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Enforcement Renaissance Underway at SEC

Enforcement Renaissance Underway at SEC

Enforcement Renaissance Underway at SEC

Enforcement didn’t seem to be at the very top of the Securities and Exchange Commission’s to-do list in the last four years. At least, that’s what the most recent data on the agency’s activities under departed chair Jay Clayton would tell u...

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SEC Exercises Little-Used Clawback Rule

SEC Exercises Little-Used Clawback Rule

SEC Exercises Little-Used Clawback Rule

Unless you’re a student of corporate-governance history, you probably don’t remember SOX 304. That’s OK: the SEC rarely invokes the provision. But earlier this month, the agency dusted off the measure to claw back some ill-gotten gains from...

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Cryptocurrency ETF with three coins representing ethereum, bitcoin and more

Three Big Questions About Crypto Regulation

Cryptocurrency ETF with three coins representing ethereum, bitcoin and more

Cryptocurrencies such as Bitcoin remain a hot topic in the financial world thanks in large part to the aura of mystery surrounding them. It’s hard to explain what they are, let alone how they work. Yet their cult-like following prompted Blo...

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SEC Shifts to New Enforcement Priorities in 2021

SEC Shifts to New Enforcement Priorities in 2021

SEC Shifts to New Enforcement Priorities in 2021

By nominating a well-established reformer to chair the Securities and Exchange Commission, President Joe Biden signaled that Wall Street should prepare for more rigorous oversight in the next four years. But what, exactly, should market par...

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