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Category: Rules & Regs

DeLorean time traveling car

SEC’s New Regulatory Agenda Goes Back to the Future

DeLorean time traveling car

The Securities and Exchange Commission is welcoming 2024 by making what was old new again. In its updated regulatory agenda released on December 6, 2023, the agency included big-ticket items that headlined agendas in previous years, such as...

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Red and blue forbidden, No Parking signs

Noncompete Agreements for the Modern Age

Red and blue forbidden, No Parking signs

Banning noncompete agreements. It’s all the rage, and it could be coming to a state legislature near you – if it hasn’t already. In September, California Governor Gavin Newsom signed into law a bill prohibiting employers from entering nonco...

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Poodle on hold with red, rotary phone

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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Swiss Army knife as multi-use tool

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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Boy pouting

A Rulemaking Process for the Rest of Us

Boy pouting

Festivus came early this year for Mark Uyeda. In public appearances earlier this month, the Republican-appointed commissioner of the Securities and Exchange Commission aired his grievances with the agency’s rulemaking process. (Observers of...

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