SEC Archives - CFO

SEC Awarded $229M to 103 Whistleblowers in 2022

SEC Awarded $229M to 103 Whistleblowers in 2022

Whistleblower tips concerning cryptocurrencies and initial coin offerings more than doubled.

By Vincent Ryan | November 30, 2022

From Regulator to Executive: CFO Alison Staloch

From Regulator to Executive: CFO Alison Staloch

How a former chief accountant at the SEC is "doing instead of judging" as CFO of investment platform Fundrise.

By Adam Zaki | November 10, 2022

The Rise of ESG: Where It Is Now and How It Got Here

The Rise of ESG: Where It Is Now and How It Got Here

Calls for corporate reform are as old as the corporation itself, so why now are companies pushing for more ESG efforts in their organizations?

By Ted Jackson | July 5, 2022

Taxicab Lender Manipulated Its Valuation and Touted Stock Illegally: SEC

Risk & Compliance

Taxicab Lender Manipulated Its Valuation and Touted Stock Illegally: SEC

Medallion Financial and its chief operating officer allegedly directed two separate schemes to inflate the company’s stock price.

By Vincent Ryan | January 5, 2022

Who’s Blowing the Whistle?

Risk & Compliance

Who’s Blowing the Whistle?

Who’s behind all these disclosures of potentially illegal or illicit business activity? The SEC's annual whistleblower report provided some clues.

By Vincent Ryan | November 22, 2021

SEC Enforcement Activity Drops 15% in 2021

Risk & Compliance

SEC Enforcement Activity Drops 15% in 2021

The decline in actions against public companies and subsidiaries reflects the continuing impact of the pandemic and the change of leadership at the SEC.

By Matthew Heller | November 17, 2021

Will the SEC Finally Approve a Tougher Clawback Rule?

Will the SEC Finally Approve a Tougher Clawback Rule?

A 2015 proposal, never adopted, would put the incentive-based compensation of other executive officers at risk.

By Vincent Ryan | October 11, 2021

Limit ESG Disclosures to Cash-Flow Impacts: Economists

Risk Management

Limit ESG Disclosures to Cash-Flow Impacts: Economists

The SEC should avoid forcing companies to disclose how business operations affect the environment and society, says the Financial Economist Roundtable.

By Vincent Ryan | October 11, 2021

Will the SEC Finally Approve a Tougher Clawback Rule?

Will the SEC Finally Approve a Tougher Clawback Rule?

A 2015 proposal, never adopted, would put the incentive-based compensation of other executive officers at risk.

By Vincent Ryan | October 7, 2021

Limit ESG Disclosures to Cash-Flow Impacts: Economists

Risk Management

Limit ESG Disclosures to Cash-Flow Impacts: Economists

The SEC should avoid forcing companies to disclose how business operations affect the environment and society, says the Financial Economist Roundtable.

By Vincent Ryan | October 6, 2021

Two PCAOB Members Resigning

Two PCAOB Members Resigning

The departures of Rebekah Goshorn Jurata and Megan Zietsman come as the SEC weighs the appointment of an entire new board.

By Vincent Ryan | August 23, 2021

Materiality Question Dogs SEC’s ESG Disclosure Project

Materiality Question Dogs SEC’s ESG Disclosure Project

Will the SEC adhere to the concept of materiality when formulating new climate risk disclosure rules?

By Vincent Ryan | August 17, 2021

Steering Clear of Ponzi Schemes

Risk & Compliance

Steering Clear of Ponzi Schemes

Recent examples show Ponzi schemes are still very prevalent and leave significant investor losses and hardships in their wake.

By Vincent Ryan | August 10, 2021

Memo to SPACs: The Bar Has Been Raised

Memo to SPACs: The Bar Has Been Raised

The SEC’s quandary is trying to solve a problem of incentives with a toolkit consisting exclusively of disclosure and enforcement actions.

By Crocker Coulson | June 28, 2021

Gensler Ousts PCAOB Chair; Other Board Members to Follow

Corporate Finance

Gensler Ousts PCAOB Chair; Other Board Members to Follow

Besides removing William D. Duhnke III, the SEC said it intends to seek candidates to fill the other Board positions.

By Vincent Ryan | June 7, 2021