SEC Investor Advisory Committee to Host June 4 Meeting
Summary: The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting at the SEC Headquarters in Washington D.C.
Why it matters: This matters if …
Read briefExecutive-Risk-Sec-Press-Releases
All content tagged with "Executive-Risk-Sec-Press-Releases".
SEC and NFA Announce Memorandum of Understanding to Further Harmonize Regulatory Coordination
Summary: The Securities and Exchange Commission and National Futures Association (NFA) today announced that they have entered into a Memorandum of Understanding (MOU) to enhance …
Read briefSEC Proposes Transformative Reforms to Help Public Companies Conduct Registered Offerings and Simplify ...
Summary: The Securities and Exchange Commission today proposed amendments to its rules and forms governing registered offerings that are designed to increase efficiency, …
Read briefSEC Rescinds Policy Regarding Denials of Settlements in Enforcement Actions
Summary: The Securities and Exchange Commission today rescinded a policy, codified in Rule 202.5(e) of its informal rules of procedures, stating that when it chooses to settle an …
Read briefSEC Charges 21 Individuals with Alleged Wide-Reaching Insider Trading Scheme
Summary: The Securities and Exchange Commission today charged 21 individuals for their alleged involvement in a decade-long insider trading scheme that used information …
Read briefSEC Divisions of Investment Management and Corporation Finance Issue Staff Guidance Supporting Retirement ...
Summary: Staff in the Securities and Exchange Commission’s Divisions of Investment Management and Corporation Finance issued guidance addressing certain questions regarding the …
Read briefSEC Proposes Amendments to Permit Optional Semiannual Reporting by Public Companies
Summary: The Securities and Exchange Commission today proposed rule and form amendments that would give public companies the option of filing semiannual reports in lieu of …
Read brief