SEC

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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SEC Sends a Message to Social Media Stock Promoters
Social Media

SEC Sends a Message to Social Media Stock Promoters

Commission suspends trading in an over-the-counter stock, SpectraScience, that is being "pumped" on social media sites.
By Vincent Ryan | February 11, 2021
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SEC Sues Ripple Over Sales of XRP Digital Assets
Risk & Compliance

SEC Sues Ripple Over Sales of XRP Digital Assets

Ripple's CEO says the company will fight the suit, calling it "an attack on the entire crypto industry and American innovation."
By Matthew Heller | December 23, 2020
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Beware This Misstep With Share Buybacks
Risk & Compliance

Beware This Misstep With Share Buybacks

Knowledge of a potential sale eluded Andeavor LLC's internal controls team, causing the firm to violate securities law.
By Vincent Ryan | October 19, 2020
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Audit Partner Rotation Delivers Few Benefits: Study
Corporate Finance

Audit Partner Rotation Delivers Few Benefits: Study

Studies find no significant fall-offs in reporting quality over partners’ five-year tenures and little or no evidence of the benefits of "fresh looks."
By CFO Staff | September 25, 2020
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SEC Charges Consumer Loan Company With FCPA Violation
Risk & Compliance

SEC Charges Consumer Loan Company With FCPA Violation

World Acceptance's former Mexico subsidiary paid more than $4 million in bribes to Mexican officials, said the SEC.
By Vincent Ryan | August 7, 2020
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Machine Learning Startup Was a Sham, Says SEC
Technology

Machine Learning Startup Was a Sham, Says SEC

Founder Shaukat Shamim "drummed up interest in [YouPlus] by providing false information about its financial performance and customer base."
By Vincent Ryan | July 20, 2020
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Tuesday Regulatory Briefing: Supreme Court Puts Limits on SEC Penalties
Risk Management

Tuesday Regulatory Briefing: Supreme Court Puts Limits on SEC Penalties

The NYSE pushes for direct listing changes; stress tests incorporate the pandemic; eurozone banks borrow record amounts; and more.
By Vincent Ryan | June 23, 2020
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Avoiding the COVID-19 Wave of Securities Litigation
Risk & Compliance

Avoiding the COVID-19 Wave of Securities Litigation

What might event-driven securities litigation during this period look like?
By Vincent Ryan | June 11, 2020
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Disclosures Amid COVID-19: “None of This Has Been Done Before”
Risk & Compliance

Disclosures Amid COVID-19: “None of This Has Been Done Before”

Once the dust finally settles from the COVID-19 crisis, the last thing issuers will want is to face an inquiry and possible enforcement action by the SEC.
By Vincent Ryan | May 6, 2020
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Virus Lays Bare Corporate Reporting Debate
Investor Relations

Virus Lays Bare Corporate Reporting Debate

In this moment, communication to investors in earnings calls should be more focused on future viability rather than historic profitability.
By Vincent Ryan | April 23, 2020
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Private Equity & Venture Capital Valuations Draw Scrutiny
Risk & Compliance

Private Equity & Venture Capital Valuations Draw Scrutiny

Regulators and standard setters have increasingly turned up the heat on PE and VC managers over the past several years.
By David McCann | February 25, 2020
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The SEC Falsely Accused Me of Fraud
Risk & Compliance

The SEC Falsely Accused Me of Fraud

A CFO speaks publicly of his four-year ordeal battling accounting fraud charges.
By Gregory Law | February 19, 2020
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Grayscale Bitcoin Trust Becomes An SEC Reporting Company
Payments

Grayscale Bitcoin Trust Becomes An SEC Reporting Company

Grayscale offers its services as an asset manager to accredited investors seeking to invest money in bitcoin as a security.
By Vincent Ryan | January 22, 2020
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Flurry of SEC Cases Disclosed
Risk & Compliance

Flurry of SEC Cases Disclosed

With its fiscal year-end looming, the SEC disclosed charges and settlements against seven different organizations in two days.
By Vincent Ryan | September 27, 2019
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