Tag: beneficial ownership
SubscribeFour New Enforcement Themes Emerge at SEC
Last month, we highlighted some of the significant trends in enforcement at the Securities and Exchange Commission as the agency’s fiscal year drew to a close. We’ve picked up on four new enforcement themes since then that are worth monitor...
Read MoreHighlights of the New SEC Rulemaking Agenda
Reflecting what Chair Gary Gensler described as a “need to modernize our ruleset, moving deliberately to update our rules in light of ever-changing technologies and business models in the securities markets,” the Securities and Exchange Com...
Read MoreTwitter Investment Could Get Elon Musk in More Trouble with SEC
It’s always something with Elon Musk, isn’t it? Once heralded as a visionary innovator, the CEO of Tesla Inc. and SpaceX now appears more interested in burnishing a reputation as a social provocateur. As his personal fortune has grown, the...
Read MoreCould SEC’s Beneficial Ownership Proposal Kill Off Activist Investing?
How long should investors be allowed to wait before alerting the market that they have taken significant equity stakes in publicly traded companies? According to the Securities and Exchange Commission, the current grace period of 10 days is...
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