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Tag: Enforcement

Will the SEC Make an Example Out of Facebook?

Facebook infamously began in the early 2000s as a dorm-room lark by Harvard University student Mark Zuckerberg. Now nearly 20 years old, what was once a killer app stopped being cool years ago. It has become an online hub for a strange conf...

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Securities and Exchange Commission Brings Back Misconduct Admissions Policy

Cancel culture is a hot topic in everything from celebrities to academia to sports. Impolite – or just plain offensive – actions and comments seem to be prompting public apologies and retractions from high-profile figures on an almost daily...

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Is the SEC Ready to Play Ball with SPACs?

Is the SEC Ready to Play Ball with SPACs?

Is the SEC Ready to Play Ball with SPACs?

If you’re a baseball card enthusiast who left your collection to gather dust in an attic somewhere, you may want to stop reading now. Earlier this year, a 1952 Mickey Mantle in mint condition sold at auction for $5.2 million. The original c...

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Enforcement Renaissance Underway at SEC

Enforcement Renaissance Underway at SEC

Enforcement Renaissance Underway at SEC

Enforcement didn’t seem to be at the very top of the Securities and Exchange Commission’s to-do list in the last four years. At least, that’s what the most recent data on the agency’s activities under departed chair Jay Clayton would tell u...

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Buybacks Beware: SEC Settlement Sends Message About Internal Controls

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Public corporations are spending upwards of a trillion dollars annually on stock buybacks, sending capital back to shareholders by the truckload. However, in a year already fraught with perils for U.S. companies that would like to buy back...

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