Regulation

Regulation

S&P Dow Jones Fined $9M Over Index Glitch

The SEC says the VIX index published stale values during the market spike on Feb. 5, causing huge losses on a Credit Suisse futures contract.

Matthew Heller
May 17, 2021
Financial Reporting

Two More SPACs to Restate Financial Results

The restatements follow new SEC guidance on how SPACs should account for the warrants that they typically issue as part of initial public offerings.
Auditing

PCAOB Proposes Rule for Foreign Audit Inspections

The rule provides a framework for implementing a new law that could result in the delisting of Chinese companies from U.S. exchanges.
Regulation

Italian Watchdog Fines Google in Antitrust Case

The Italian Competition Authority said Google abused its dominant market position by excluding a third-party app from Android Auto.
Regulation

Under Armour Fined $9M Over Accounting Trick

The SEC says the sneaker firm used $408 million in pulled-forward orders to meet revenue estimates for six consecutive quarters.
Regulation

New SEC Enforcement Chief Alex Oh Resigns

Oh's resignation after only a few days on the job followed a judge's ruling in a case in which she represented ExxonMobil.
Disclosure

Getting a Jump on Climate Change Disclosures

CFOs should start planning their communications strategies and assessing climate-related business risks as soon as possible.
Regulation

SEC Reviewing Rules for ‘Gamified’ Trading Apps

“If we don’t address this now, the investing public may shoulder a burden later,” SEC Chairman Gary Gensler says.
Investor Relations

Reg FD: Preventing Infractions

The AT&T case is a good reminder that there are risks associated with selective disclosure of material information.
Mobile

Apple, Google Take Flak Over App Platforms

A witness at a Senate hearing compared the companies' control over their platforms to the "behavior of the robber barons."
Regulation

Ex-Goldman Analyst Barred for Insider Trading

FINRA says Brian Maguire traded shares in two companies after learning that a colleague was upgrading his recommendation on the firms.
Regulation

House OKs Bill to Make Weed Banking Legal

The law is "an important step" toward allowing banks to serve legal cannabis and cannabis-related businesses.
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