Securities and Exchange Commission
Tech Upgrade Commands CFO’s Focus
Amy Shelly of Options Clearing Corp. faces several challenges in replacing the organization's outdated platform.
SEC Enforcement Actions Plummet
The top U.S. securities regulator eased up on enforcement actions against public companies in the second half of fiscal year 2017.
SEC Chairman Seeks Proxy Inquiry
Jay Clayton seems to want to pay as much attention to corporate prerogatives as he does to shareholder demands.
PCAOB Probes Help Companies Raise Capital
Companies "raise significantly more external capital following the disclosure of their auditors’ PCAOB inspection report," study finds.
Fraudsters Fare Worse When Whistles Blow
When whistleblowers are involved in enforcement actions, perpetrators can expect greater financial sanctions and longer prison sentences, a study finds.
Chamber Urges SEC to Nix Auditor Disclosure Rule
The Public Company Accounting Oversight Board’s proposal would spawn confusion and liability, according to the U.S. Chamber of Commerce.
KPMG Settles Charges of Improper Energy Audit
The firm’s client, Miller Energy Resources, inflated $5 million in oil and gas assets to nearly $500 million, according to the SEC.
Ex-SEC Attorney Raps WSJ Report on Enforcement Activity
Wall Street Journal article criticizing feds' level of enforcement this year is off-base, the attorney explains.
A Vote of Confidence for the PCAOB?
SEC Chairman Jay Clayton praises James Doty’s decision to stay on while the PCAOB starts to fill four vacant posts.
SEC Probes Deeper If Cos. Have Political Ties: Study
Researchers find that companies' political connections may boost SEC scrutiny rather than deter it.
CFOs Pump Out Free Cash Flow
But big, public, non-financial companies are generating cash partly by cutting capex, study finds.