SEC Eases Audit Requirements for Smaller Companies
It takes a lot to break through the coronavirus-centric news cycle, but this development in the world of financial regulation does the trick. Last wee...
SEC Takes Down Steven Seagal, ETF Applicants in Crypto Confrontations
The Securities and Exchange Commission was out for justice recently when it came calling on action movie star Steven Seagal. The “Half Past Dead” ...
Will Regulators Catch Up on Privacy Protections?
For many companies, a $550 million settlement in a class action lawsuit would strike a crippling blow. Facebook isn’t one of them. The social networ...
SEC Serves Up Guidance on Alternative Performance Metrics
When the online consignment shop The RealReal went public last summer, its shares flew off the shelves. On the first day of trading, the stock price p...
SEC Moves Forward with Expansion of “Accredited Investors”
There’s a famous anecdote about a conversation between F. Scott Fitzgerald and Ernest Hemingway regarding the super rich. The author of The Great Ga...
SEC Proposal Would Curb Shareholder Resolutions
By definition, owning a share of stock gives the holder partial ownership of a company. Even though institutions like mutual funds and pensions contro...