Tag: FINRA

sec ESG Disclosure COVID-19 Coronavirus accounting pandemic CLIMATE CHANGE cryptocurrency Enforcement Gary Gensler PCAOB IPO cybersecurity China AMAZON Diversity executive compensation FASB Shareholder Proposals Corporate Governance JAY CLAYTON COMPLIANCE BLACKROCK bitcoin Human Capital SPAC Board of Directors INVESTOR RELATIONS Insider trading Environmental Sustainability RISK FACTORS Regulation Supply chain SPACs Glass Lewis Allison Herren Lee Starbucks Gensler PROXY SEASON Greenwashing shareholders Russia Audit Uber 10-K board diversity 10b5-1 DOJ google Labor activist investors emissions Hester Peirce Buybacks ELON MUSK delisting 8-K PROXY CFTC RULE 14A-8 Metrics Regulation S-K auditing Financial Reporting McDonald’s facebook microsoft securities corporate crime JPMorgan Chase Department of Justice inflation ransomware apple Twitter dodd-frank Restatements GOLDMAN SACHS Citigroup Nasdaq GameStop Wells Fargo Public Companies FTX sanctions Unicorn whistleblower broker-dealer blockchain Data Breach Netflix Shell Materiality Ukraine SAY ON PAY Biden corporate boards Coinbase TESLA CEOs Sarbanes Oxley Governance Holding Foreign Companies Accountable Act institutional investors Crypto Social President-elect Biden CorpFin Larry Fink DIVISION OF CORPORATION FINANCE Financial Services gamification Robinhood ISS 10-Q CARES Act Lease Accounting non-GAAP COMMENT LETTERS PRIVATE EQUITY beneficial ownership carbon emissions Auditors Big Four Report Directors Banks Compensation employment Antitrust vaccine Disney Election Exxon Mobil greenhouse gas Royal Dutch Shell Mergers GAAP Dodd-Frank Act financial performance pay vs. performance Performance Metrics Meta NFTs CEO pay GENERAL ELECTRIC Securities and Exchange Commission equity Stock Risk Factor Supreme Court Institutional Shareholder Services clawbacks disclosures shareholder votes Bill Ackman 2021 Biden administration Quarterly Earnings Guidance NYSE TRUMP Climate reporting return to work WeWork guidance Proxy Advisory Firms EXXON ESG reporting Legislation ETF cyberattack vaccine mandate Jamie Dimon OCIE direct listing Lyft Earnings Calls Annual Shareholder Meeting Virtual Shareholder Meetings CEO Paycheck Protection Program Internal Controls Spotify Alphabet Shareholder GOP Audit Committees CAMs audit inspections critical audit matters nonpublic information data Fraud Trade FTC Activision Investment Costco shareholder activism Chamber of Commerce Johnson & Johnson Bank Secrecy Act competition Great Resignation blank-check material information Peloton climate change disclosure Procter & Gamble MicroStrategy total shareholder return oil and gas public relations Carl Icahn BP Risk Management Papa John’s Environment Earnings Per Share HFCAA Poison Pill Home Depot meme stocks California Nikola Corp Fin Taiwan fair value intangible assets recession commodities digital tokens environmental reporting de-SPAC Acquisition digital assets workforce Material Adverse Effect Auditor Independence Paul Munter environmental disclosures 10b5-1 plans Inflation Reduction Act Manufacturing Ron DeSantis CEO compensation climate Accountants Treasury Department revisions acquisitions proxy votes deterrence COMMENT LETTER 2020 trends AT&T corporate speech stock exchange direct listings SEC CHAIR Janet Yellen Clawback EEOC liability Litigation mandate AFL-CIO Human Capital Management Political Spending Buzzfeed Reg FD JP Morgan Bank of America racial diversity marijuana John Coates Oversight warrants human capital disclosure Ether Ethereum boycott rules Chevron Engine No. 1 infrastructure ESG disclosure President Biden Standards rulemaking inside information Public Filings ESG disclosures Caroline Crenshaw representation Goodwill Kraft Heinz Pfizer Lawsuit Lordstown Motors Nike back-to-work order flow banking financial institutions climate disclosures Mondelez AUDIT COMMITTEE LIBOR Airbnb Stakeholders Shadow Regulators Smaller Reporting Companies Lease Modifications Under Armour PPP Shake Shack ASC 842 Real Estate Remote Work Federal Reserve M&A REVENUE RECOGNITION Environmental Regulation Blank Check Companies Special Purpose Acquisition Companies Trade War Item 103 Employees Employers Executive Order Multi-Class Stock Palantir Slack Retail MD&A Iron Mountain uncertainty SEC filings Zoom SolarWinds bank Emerging Growth Companies interlocking directorates accounting analytics resource extraction Scope 3 emissions accounting firms deficiencies officers Securities Exchange Act of 1934 Federal Reserve Board financial risk Privacy surveillance Self-reporting Conservative Republican exports Technology private placement Reg D Monopoly Gaming derivative custody law firm privilege securities law settlements Norges Bank Investment CREW democracy insurrection January 6 political donations Toyota criminal conduct environmental enforcement Todd Kim black market FinCEN IRS seizures consolidation Arrowhead Pharmaceuticals Clorox Corp. inclusion NFL racism Rooney Rule Reg SCI BlockFi pay for performance Big Oil Edelman fossil fuel information asymmetries EPAM Systems Philip Morris International data security franchises globalization nationalization Subway employee health public health wellness Larry Culp unanimous Chipotle Conagra consumers Earnings Fastenal prices quarterly results options contracts Shopify stock splits diversity equity and inclusion Lumber Liquidators securities fraud Vale cryptomining Nvidia annual meetings natural gas multinational companies Risk investment funds economic downturn labor market carbon offsets internal control public equity intellectual property Health abortion Dobbs v. Jackson reproductive rights Roe v. Wade conflict minerals forced labor Imports Uyghur Forced Labor Prevention Act Delaware Chancery reverse breakup fee Schedule 13D specific performance clause climate disclosure major questions doctrine West Virginia v. EPA Proxy Advisors consultants capital supply-chain financing corporate profits Tax Enron financial regulation Sarbanes-Oxley Act WorldCom friend-shoring trade policy capital gains corporate share repurchases excise tax elections shareholder democracy universal proxy cards Citizens United woke capitalism audit inspection Erica Williams five-year plan Public Accounting Oversight Board chief financial officers EPS forecasting global instability revenue guidance compliance enforcement cooperation deferred prosecution malfeasance joint venture Deloitte As You Sow executive bonus anti-money laundering lawyers ownership chief metaverse officer internet metaverse virtual reality net-zero emissions sustainable investing fair-value accounting Valuation corporate sustainability green hushing scope 3 cyber insurance data breaches incentive-based compensation reissuances Clayton Act collusion interlocking directors Section 8 economic relevance Lobbying Ordinary Business social issues carbon credits reforestation CFIUS Foreign Investment National Security supply chains buyback tax liquidations Form N-PX mutual funds company culture CIVIL PENALTIES Gurbir Grewal ethics QC 1000 quality control Form 10-K Exchange Sam Bankman-Fried criminal fraud FCPA foreign tax income tax reconciling tax credits 2022 biggest stories backlash highlights board diversity rules environmental metrics ESG metrics lease accounting rule changes virtual annual shareholder meetings Bitcoin ETF ESG shareholder proposals predictions 25th Amendment Axe National Association of Manufacturers opposing insurrection political issues China Mobile China Telecom China Unicom Chinese telecoms Executive Order 13959 tensions U.S. Brian Brooks Fair Access to Financial Services Office of the Comptroller of the Currency disgorgement National Defense Authorization Act Division of Enforcement enforcement priorities 2021 Stephanie Avakian Steven Peikin Senate Finance Committee Investment Banks IPOs Roblox underwriters Bezos CEO departing Frazier Iger leadership change Merck succession plans CFOs SOX 304 WageWorks Allison Herron Lee Investigations Reform AMC extreme market volatility shelf registrations ADA employer NASDQ Republican senators environmental disclosure annual meeting fast food no-action letters retailers shareholder proposal sick leave Berkshire Hathaway Boxed Charlie Munger DraftKings special purpose acquisition company fair disclosure SEC enforcement action TherapeuticsMD American Brivision Corp. Zhihu Inc. Evercore Zoom-free Fridays JP Morgan Chase racial equity audit Adam Neumann Juul Boehner Brett Redfearn revolving door S1 $2 trillion 21% 28% American Jobs Plan corporate tax rate infrastructure plan taxes Mudrick Capital Topps Bridgestone green loans revolving credit facility sustainability-linked loans ESG rating service grading Salesforce scoring SLLs XPO Logistics Forward-Looking Statements indexing tender offer Intelligize Report numbers S&P 500 statistics study Alex Oh appointments Director of Division of Enforcement Heather Slavkin Corzo Paul Weiss Policy Director Principles for Responsible Investment corporate treasury intangible asset public company COCA-COLA corporate activism Delta Florida Georgia Republicans voting laws voting restrictions Citadel Congressional testimony Gary Genseler payment for order flow stock trading apps stock trading platforms trading Q1 2021 shareholder meetings voting against management Allison Lee Modernization prescriptive rule 420 manipulation moving market pump and dump tweets Corporate Disclosure integrated reporting IPO Access IPO shares short squeeze conflicts of interest recommendations reversing revisiting 2050 activist hedge fund court net zero board members overhaul purge scandal William Duhnke Colonial Pipeline First American Financial Corporation JBS recover response ESG Disclosure and Simplification Act H.R. 1187 House of Representatives White House regulatory agenda Deutsche Bank hybrid JPMorgan mandatory vaccination Synchrony Financial UBS backdating charity donations Insider giving Rule 10b5-1 stock gifts Barclays drought scarcity water Momentus Stable Road Coinschedule WisdomTree Delta Airlines enabling shareholder graft materiality standard public comments U.S. Oil & Gas Association ALIBABA Didi Global foreign listings going public in U.S. JD.com variable interest entities VIEs Africa FOIA Oatly Robbins Geller Short-Seller Spruce Point Capital Management wastewater $28 billion DeFi DeFi Money Market infrastructure bill reporting requirements tax revenue taxation Elad Roisman female LBGTQ+ racial minority $15.4 billion 3G Capital Partners Class Action Goodwill impairment Illinois J.J. Heinz Co. Kraft Foods Group Inc. Sequential Brands 10b5-1 trading plans and Urban Affairs Congress executives Housing planned stock sales Senate Committee on Banking Pershing Square Tontine Holdings Ltd. Robert Jackson Trevor Milton American Express caterpillar woke-washing ESG survey Intelligize survey BioNTech Delta variant FDA mandatory vaccine benefits tuition commission-free stock trading no-fee stock trading stock trading exemptions testing vaccinations Affirm Afterpay BNPL buy now pay later Embedded finance Square traditional banking CSR HFCCA VIE Wall Street Journal Bassett Furniture McCormick & Company disabilities Disability LGBTQ+ racial minorities Culture wars Greg Abbott gun ban Texas Corporate Sustainability Reporting Directive CSRD EU Green New Deal admissions corporate accountability Merrill Lynch wrongdoing futures Conference Board DEI Spencer Stuart Frances Haugen Sophie Zhang activism fossil fuels SBTi Lisa Monaco white-collar crime John Deere Kellogg’s strikes unions emergency temporary standard OSHA boards of directors universal ballot spring-loaded compensation conglomerates corporate breakups GE IBM Toshiba Harley-Davidson Lucid Group NLRB organized labor union Norges Bank stock buybacks Auditing Standard 3101 Clayton FASB ASC Topic 606 FASB ASC Topic 842 Regulation G Regulation S-X Rule 2-01 Accredited Investors Capital formation Investor Advocate Rick Fleming Cannabis Goldenseed Regulation A+ broker-dealers Elder Investment Advice FINRA Regulation Best Interest #MeToo American Outdoor Brands Best Buy Fraternization Policy Lam Research Smith & Wesson First Amendment Investor Advisory Committee Proxy Adviser Amortization Russell Golden Outbreak Management’s Discussion and Analysis SEC Guidance Biometric Information Privacy Act Clearview AI data privacy General Data Protection Regulation European Securities and Markets Authority OMB Beyond Meat Offering IMAX Las Vegas Sands Subsequent Events Tapestry Bitcoiin2Gen NYSE Arca Inc. Steven Seagal Wilshire Phoenix Intelligize Quarterly Diageo KPI Bank of New York Mellon Hewlett Packard Enterprises HPE Names Rule Extension Accelerated Filers ICFR Bailout Equity Stakes GENERAL MOTORS Golden Parachute Altria Baxter International Inc. BT Group PLC Diana Shipping Inc. Infected Delay Dell Technologies Foot Locker Inc. Questions TJX Companies Ulta Beauty JETBLUE AIRWAYS MGM Salary Cut Abercrombie & Fitch Guess Right of Use Levi Strauss Mondelez International Norwegian Cruise Lines Stock-drop litigation Blonder Tongues Laboratories Debt Agreements Loans Revise Xcel Brands Inc. scrutiny Short Term Suspended Warren Buffet Mnuchin PR Ruth’s Chris SBA Corporate Debt Debt Forbes Ford MGM Resorts Micron Proctor & Gamble ASC 840 Duke Realty Estee Lauder Prologis Activist Investor Hostile Takeover Net Operating Loss Shareholder Rights Plan Campbells employee protection temperature check thermal temperature worker virtual shareholder meeting Corporate Bonds Exchange-Traded Funds Loan Facility Main Street Lending Program Small and Midsize Businesses Cooley Los Angeles Lakers Potbelly Steven Mnuchin Venable Advent International Forescout Technologies Transaction Dividends CPG Newco Crossfirst Bankshares EGC Heritage NOLA Bancorp Xynomic Hong Kong Stock Exchange Virtual Annual Meeting shareholder vote phaseout Credit Agreement Debt Covenant Going Concern Substantial Doubt Racial Inequality Shadow Regulator Deferred Tax Assets Net Operating Losses NOL Tax Relief Pershing Square Tontine Volatility Accolade Female Director GoHealth Lemonade Pandion Therapeutics ASC 606 Ceres DOW PARIS AGREEMENT Sen. Mark Warner (D-VA) Billy Beane RedBall fastest rising most popular tariff Bausch Health Investigation S&P Global Wells Notice Back to School Child Care Childcare Human Resources Paid Leave Working Parents Ban TikTok WeChat Mail Postage Postal Service USPS Business Roundtable HARVARD LAW Short-Termism Alex Karp Lock-Up Agreements Peter Thiel Stock Offering Workforce Development Amendments DISCLOSURE EFFECTIVENESS Principles-Based Asana New York Stock Exchange CVS HCA Healthcare Payroll tax deferral relief Sen. Chuck Schumer Sen. Ron Wyden UPS NACD Ocado Vanguard Airfox Blockchain of Things Fintech Gladius ICO Unikrn Stakeholder Engagement Earnings Guidance Earnings Management Earnings Season EPS Initiative BMW HP Key Performance Indicators Known Trends Management Discussion and Analysis Bloomberg EEO-1 form gender diversity NYC comptroller public Reporting State Street transparent Workforce diversity Black employees diverse employees executive pay nonrecurring costs one-time expenses Revenue Andeavor management authorization Marathon AI auto-generated coverage Checklist download Earnings Call Transcripts investor presentations machine learning Company Insights competitors LexisNexis news Capture D&O Insurance Golden-Leash Agreements Indemnification Robyn Denholm presidential Stock Market vote Item 101 Item 105 Reg S-K climate risk UK median employee pay ratio Regulation S-K Item 402(u) prescriptive principles rules-based California law requirement 2021 proxy season principles-based disclosure Cheesecake Factory enforcement action Sequential Brands. goodwill impairment DoorDash disclose FireEye U.S. government Settlement venture capital Financial Reporting Council large accelerated filers material weakness SOX 2024 budget Binance test-the-waters AICPA accounting disclosure framework dual-class Pinterest Financial statements Qualcomm Class Actions Silicon Valley Bank Bankruptcy Chapter 11 Bed Bath & Beyond Bank Failure FDIC Social Media Market Manipulation communications