Photograph of skyscrapers with glass windows from the ground facing up to a blue sky

Category: Investor Relations

empty inside of a self-driving car

SEC Puts Proxy Voting in Self-Driving Mode

empty inside of a self-driving car

Last year, Goldman Sachs shareholders representing roughly a third of votes cast objected to $80 million in retention bonuses for CEO David Solomon and President John Waldron, the most pushback on compensation the bank has ever seen. Holder...

Read More
two parallel train tracks

SEC Takes Two-Track Approach to Private Assets

two parallel train tracks

For about $100 and two hours of multiple-choice questions, the average Joe could soon qualify to buy into private offerings. That is the premise of a FINRA-developed accredited investor exam the SEC is now considering. Anybody 18 or older c...

Read More
power transmission towers in fog

AI Borrowing Goes to Plaid

power transmission towers in fog

An AI researcher let it slip last week that the technology we’re all embracing could wipe out humanity in the next decade. Bright side: if that came to pass, it would render any concerns expressed in this blog post largely moot. If you want...

Read More
boy standing on paddleboard

Back to the Ledger: The SEC Stands Up a Dedicated Accounting Fraud Unit

boy standing on paddleboard

The SEC has created dedicated accounting-fraud teams before. It did so in 2013 with a Financial Reporting and Audit Task Force, and again this past spring with a “SOX group” that arrived with little more fanfare than a pair of job listings....

Read More
five wooden arches

Five Potential Impacts of Semiannual SEC Reporting

five wooden arches

If you don’t run a public company, the idea of shifting from quarterly to semiannual financial reporting may sound like a classic case of a solution in search of a problem. There was nothing obviously broken about the system that generated...

Read More