Securities and Exchange Commission

What Gary Gensler’s Confirmation As SEC Chair Means For Crypto
Risk & Compliance

What Gary Gensler’s Confirmation As SEC Chair Means For Crypto

He will be the first cryptocurrency policy and blockchain technology expert to take the reins at the SEC.
By Vincent Ryan | April 16, 2021
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SEC Cautions On Celebrity SPACs
Risk & Compliance

SEC Cautions On Celebrity SPACs

“Celebrities, like anyone else, can be lured into participating in a risky investment or may be better able to sustain the risk of loss.”
By Lauren Muskett | March 12, 2021
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Robinhood Settles SEC Charges
Risk & Compliance

Robinhood Settles SEC Charges

The popular trading app agreed to pay $65 million over allegations of misleading customers and mishandling trades.
By Lauren Muskett | December 17, 2020
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Kaiser to Leave PCAOB; Chief Auditor to Replace Him
Corporate Finance

Kaiser to Leave PCAOB; Chief Auditor to Replace Him

Megan Zietsman, chief auditor and director of professional standards of the PCAOB, will replace Jim Kaiser, who is retiring.
By Vincent Ryan | October 15, 2020
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Morningstar Settles Conflict of Interest Charges
Risk & Compliance

Morningstar Settles Conflict of Interest Charges

The $3.5 million settlement is a rare enforcement action against a ratings agency over conflicts.
By Lauren Muskett | May 15, 2020
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COVID-19 Highlights Need to Reset SEC Proposal on MD&A Disclosures
Disclosure

COVID-19 Highlights Need to Reset SEC Proposal on MD&A Disclosures

Now is not the time to eliminate important investor information. It is a time to enhance and improve some of the key sections of registrant filings.
By Lauren Muskett | May 5, 2020
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SEC Planning to Loosen Auditor Independence Rules
Regulation

SEC Planning to Loosen Auditor Independence Rules

On Monday, the SEC proposed changing the rules to keep auditor committees and auditors from spending time on "non-substantive" rule breaches.
By Vincent Ryan | January 2, 2020
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SEC Proposal Protects Executives, Hamstrings Investors
Risk & Compliance

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.
By David McCann | November 6, 2019
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RSM Charged by SEC with Violating Auditor Independence Rules
Regulation

RSM Charged by SEC with Violating Auditor Independence Rules

The accounting firm agreed to a $950,000 penalty and to engage an independent consultant to evaluate its current quality controls.
By Vincent Ryan | August 27, 2019
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SEC Aims to Ease Disclosure Rules
Risk & Compliance

SEC Aims to Ease Disclosure Rules

The commission proposes a more principles-based, less-prescriptive approach to business description and risk factor disclosures.
By David McCann | August 9, 2019
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Nomura to Pay Misled Bond Customers $25 Million
Risk & Compliance

Nomura to Pay Misled Bond Customers $25 Million

The SEC said traders made misleading statements and the bank failed to properly monitor them.
By Lauren Muskett | July 16, 2019
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SEC Charges Bring Long Fraud Saga to a Close
Risk & Compliance

SEC Charges Bring Long Fraud Saga to a Close

Five years after GT Advanced Technologies went bankrupt, the company and its ex-CEO, facing overwhelming evidence, cop to SEC allegations.
By David McCann | May 8, 2019
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Investor Group Petitions for Better Exec Comp Disclosure
Human Capital

Investor Group Petitions for Better Exec Comp Disclosure

The investors want companies to better explain in proxies their use of non-GAAP metrics for determining executive compensation.
By David McCann | May 7, 2019
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How to Blow the Whistle to the SEC
Risk & Compliance

How to Blow the Whistle to the SEC

Becoming a whistleblower requires planning. For example, do you report the fraud internally first or go directly to the SEC?
By Vincent Ryan | April 30, 2019
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At Apple, the Fox Was Minding the Henhouse
Risk & Compliance

At Apple, the Fox Was Minding the Henhouse

Apple’s former global head of corporate law is charged by the SEC with insider trading.
By Vincent Ryan | February 13, 2019
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