SEC

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
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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
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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
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Will the SEC Finally Approve a Tougher Clawback Rule?
Regulation

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
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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
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Will the SEC Finally Approve a Tougher Clawback Rule?
Regulation

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
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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
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Two PCAOB Members Resigning
GAAP and IFRS

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
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Materiality Question Dogs SEC’s ESG Disclosure Project
Supply Chain

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
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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
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Memo to SPACs: The Bar Has Been Raised
Regulation

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 Vincent Ryan | June 28, 2021
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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
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PCAOB Critics Call On Gensler to Clean House
Regulation

PCAOB Critics Call On Gensler to Clean House

"We do not believe the current Board members are up to the task of re-focusing the PCAOB on its core mission," says an investor group.
By Vincent Ryan | May 20, 2021
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Getting a Jump on Climate Change Disclosures
Risk Management

Getting a Jump on Climate Change Disclosures

CFOs should start planning their communications strategies and assessing climate-related business risks as soon as possible.
By Vincent Ryan | April 27, 2021
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SEC Could Reclassify SPAC Warrants And Hold Up New Filings: Report
Mergers & Acquisitions

SEC Could Reclassify SPAC Warrants And Hold Up New Filings: Report

Warrants could soon be considered liabilities instead of equity for accounting purposes.
By Vincent Ryan | April 13, 2021
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