Reg BI Headlines Four Securities Enforcement Priorities for 2020
It’s January, and around Washington, D.C., that means it’s time for government agencies to declare their priorities for the coming year. They’re...
SEC Qualifies First Offering by U.S. Pot Grower
From the release of Cheech & Chong’s Up in Smoke in 1978 to former House Speaker John Boehner joining the board of a cannabis company forty year...
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...
Five Key Things the SEC Wants Audit Committees to Know
Officials from the Securities and Exchange Commission gave public companies a belated Christmas gift on December 30, offering insights into their thou...
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...
The Proxy Adviser Strikes Back
It’s one of the defining conflicts in corporate governance today: the attempt to constrain the behavior of public companies by non-governmental “s...