Photograph of skyscrapers with glass windows from the ground facing up to a blue sky

Tag: securities

zipper

Trump’s Loose Lips Risk Running Afoul of SEC

zipper

Restraint has never been Donald Trump’s strong suit. The former President seemingly lashes out at any perceived slight within earshot, leading to countless public feuds with everyone from Pope Francis to C-list celebrities to the mainstream...

Read More
AI-generated Red Riding Hood and wolf

No Fear of AI Here: Survey Reveals Little Worry Among Compliance Pros Over Use of AI

AI-generated Red Riding Hood and wolf

As big business has embraced the promise of artificial intelligence, questions and concerns among professionals, consumers and investors about the potential negative effects of AI have tempered the allure of innovation and improved bottom l...

Read More
Vintage 1970s peacock pattern in orange, olive green and gold

SEC Adopts Rules for Speedier 13D Disclosures to Keep Pace with Modern Market

Vintage 1970s peacock pattern in orange, olive green and gold

The popular culture of the 1970s was awash in flared jeans and wide lapels. And in the world of finance, the decade also saw the first rules regarding beneficial ownership reporting go into effect.  Though technology made the world faster a...

Read More
Businessman staring at an image painted on a wall of a large fish about to eat a smaller fish

Securities Class Action Settlements Hit 15-Year High in 2022

Businessman staring at an image painted on a wall of a large fish about to eat a smaller fish

Securities class action lawyers appear to have had a banner year in 2022, according to a new report. Data from economic and financial consulting firm Cornerstone Research indicates that settlements in securities class action cases hit a 15-...

Read More

Coinbase Case Raises Questions About SEC’s Crypto Authority

The Securities and Exchange Commission is continuing to break new ground in the regulation of the cryptocurrency market. Whether the agency should be doing so may depend on who you ask. Last week, the SEC announced insider trading charges a...

Read More