Regulation

People

SEC Names White House Aide to PCAOB

Rebekah Goshorn Jurata replaces Kathleen Hamm, a cybersecurity expert who had been seeking a second term on the board.

Matthew Heller
October 14, 2019
Regulation

SEC Pulls Plug on Telegram Initial Coin Offering

“The SEC isn’t playing around. It's time these [ICO] companies recognize this.”
Regulation

Fed OKs Rollbacks of Post-Crisis Banking Rules

The Board of Governors voted 4-1 in favor of the changes, with the dissenter saying they would weaken core safeguards.
Regulation

CFTC Chairman Says Cryptocurrency Ether is a Commodity

Ether futures will begin trading in U.S. markets in the near future.
Regulation

Warren Slams SEC Oversight of Rating Firms

“There are strong indications that rating agencies are continuing to prop up risky financial products," the senator told SEC Chair Jay Clayton.
Fraud

Flurry of SEC Cases Disclosed

With its fiscal year-end looming, the SEC disclosed charges and settlements against seven different organizations in two days.
Regulation

Mylan Settles Charges With SEC

Regulators said the pharmaceutical company failed to make disclosures around the DOJ’s investigation of its EpiPen.
Regulation

Block.one Fined $24M Over Initial Coin Offering

The blockchain startup is the latest company to be sanctioned by the SEC for failing to provide a registration statement for a digital asset offering.
Regulation

SEC OKs Rule to Extend ‘Test-the-Waters’ Tool

All companies will now be able to gauge the interest of institutional investors in a possible public offering before filing a registration statement.
Accounting & Tax

PwC Fined $7M for Audit Independence Violations

The SEC says the firm improperly worked on non-audit services including financial software projects for audit clients.
Regulation

Nissan, Execs Settle SEC Charges Over Undisclosed Compensation

Ex-CEO Ghosn was charged with hiding $140 million from investors.
Regulation

SEC Charges ICO Incubator Over Unregistered Offerings

Regulators said ICOBox continues to ‘flout’ registration requirements.
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