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Category: SEC

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Auditors Swept Up in SPAC Regulation

Venus flytrap with captured insect

Like other trendy investment vehicles that skyrocketed in popularity and then faced a sharp decline, special purpose acquisition companies (SPACs) are seeing yet another indication that they are subject to the laws of financial gravity. New...

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Smaller Banks Start Feeling the Heat From the SEC

Fried egg on a sidewalk

First Republic Bank, Silicon Valley Bank and Signature Bank may have crashed months ago, but the fallout from their implosions continues to reverberate across the financial sector. Regulators are now examining potential links between the co...

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SEC Shows “Burying” Bad News Isn’t Just the Domain of Corporate Interests

Dachshund wearing sunglasses buried in sand at the beach

Recently, we broke down some of the public relations games that companies have been known to play when they have bad news to report. For example, they might issue a press release on benign developments the same day they disclose damaging in...

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SEC Cracks Down on Crypto Exchanges

Two young siblings staring head to head in argument

The big story in the investment world last week was the Securities and Exchange Commission initiating a long-anticipated showdown with the cryptocurrency sector. On June 5, the agency filed a lawsuit against the world’s largest crypto excha...

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Companies Grapple with Appropriate Disclosures for Cybersecurity

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You could make a strong case for the SolarWinds hack of 2020 as the most significant cybersecurity event in history to date. Russian hackers launched a massive online attack through the software company’s information technology platform to...

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