Consumer Advocates Not Satisfied by Regulation BI
How do you know your stockbroker has your best interests in mind when making investment recommendations? Last week, the U.S. Securities and Exchange...
Are You Ready for Clayton’s Take on Disclosure Effectiveness?
President Trump’s administration hasn’t taken up many of the causes championed by the previous occupant of the White House. In fact, the current c...
Airbnb Tempts Clayton with Stock Proposal
Here’s something you might be concerned about if you run a “sharing economy” business like Airbnb or Uber: payments to people who earn income fr...
SEC Makes Belated Call for Cyber-risk Disclosures
In the history of computing, the year 2011 was a different era entirely. The Facebook “Wall” was still a thing (as was Google Buzz), IBM’s Watso...
Spotify Tests SEC Patience with Dual-Class Shares for Stock Offering
Spotify is planning a stock offering in a couple of months, and it appears that the music streaming service’s co-founders are taking their cues from...
SEC Puts Budget Where Its Mouth Is on Retail Enforcement
For the last eight months, the SEC has talked a big game on retail investors. With remarkable consistency, Chairman Jay Clayton returns in his public ...