The $3.5 million settlement is a rare enforcement action against a ratings agency over conflicts.
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.
On Monday, the SEC proposed changing the rules to keep auditor committees and auditors from spending time on "non-substantive" rule breaches.
Proposed rule changes would pressure proxy advisory firms to take a more management-friendly stance in their reports and vote recommendations.
The accounting firm agreed to a $950,000 penalty and to engage an independent consultant to evaluate its current quality controls.
The commission proposes a more principles-based, less-prescriptive approach to business description and risk factor disclosures.
The SEC said traders made misleading statements and the bank failed to properly monitor them.
Five years after GT Advanced Technologies went bankrupt, the company and its ex-CEO, facing overwhelming evidence, cop to SEC allegations.
The investors want companies to better explain in proxies their use of non-GAAP metrics for determining executive compensation.
Becoming a whistleblower requires planning. For example, do you report the fraud internally first or go directly to the SEC?
Apple’s former global head of corporate law is charged by the SEC with insider trading.
The move to go public without an IPO would follow a direct listing from Spotify last year.
