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Category: SEC

Shadows of people cast on the ground

SEC’s Win in ‘Shadow Trading’ Case Shines Light on Corporate Trading Policies

Shadows of people cast on the ground

The circumstances of individual cases may differ, but we all know that insider trading involves using material, non-public information to buy and sell a company’s securities. But what if you possess inside information about one company that...

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Architectural blend with greenery, ESG uncertainties

Frustrations Mount Over Differing Climate Disclosure Rules

Architectural blend with greenery, ESG uncertainties

The long slog to implementing sustainability-related disclosure rules for companies in the United States reached something of a conclusion last month. While issuers are coming to terms with what the Securities and Exchange Commission now re...

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zipper

Trump’s Loose Lips Risk Running Afoul of SEC

zipper

Restraint has never been Donald Trump’s strong suit. The former President seemingly lashes out at any perceived slight within earshot, leading to countless public feuds with everyone from Pope Francis to C-list celebrities to the mainstream...

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Pinocchio figurines with long noses

SEC Dings Investment Advisors for AI Washing; Are Public Companies Next?

Pinocchio figurines with long noses

You’ve heard of greenwashing and sports-washing. Let us introduce you to AI washing. In what is believed to be a first for the Securities and Exchange Commission, the agency recently settled charges against a pair of investment advisors for...

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Shoes hanging from a wire

SEC Getting Serious About Related Party Transaction Disclosures

Shoes hanging from a wire

When Martha Stewart teamed up with Skechers to launch her own line of branded footwear last year, the partnership seemed to fit like your favorite pair of slip-on sneakers. “Martha’s style is all about blending form and function,” noted an...

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