Whistleblower Tips to SEC Top 5,200 in FY 2019
“The whistleblower program continues to have a significant positive impact on the commission’s enforcement efforts and protection of investors and markets."
SEC Proposal Protects Executives, Hamstrings Investors
Proposed rule changes would pressure proxy advisory firms to take a more management-friendly stance in their reports and vote recommendations.
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.
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.
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.
Bricker to Step Down as SEC Chief Accountant
Wes Bricker's three-year tenure will end in June, with his deputy Sagar Teotia taking over as acting chief accountant.
SEC Names Gabriel Benincasa as First Chief Risk Officer
The position was created in the wake of the 2016 cyberattack to help identify and mitigate risks.
SEC Proposes Rule to ‘Test the Waters’ Before IPOs
The move is part of a push to make it easier for companies to go public amid a 50% decline in U.S. listings over the past two decades.
Senators Prod Regulators on Fintech Oversight
A bipartisan letter follows attempts by Robinhood to rebrand a cash management service.
SEC Fines, Disgorgement Hit $3.9B in 2018
The agency "continues to be extremely successful in its efforts to deter bad conduct and effectively remedy harm to investors."
More Issuers Will Qualify as a ‘Smaller Reporting Company’
Amendments to the SRC rules will allow about 1,000 additional companies to qualify for scaled-down disclosure requirements.