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SEC Adopts Final Rules to Allow Exchange Act Reporting Companies to Use Regulation A
December 19, 2018The Securities and Exchange Commission adopted final rules to allow reporting companies to rely on the Regulation A exemption from[...]
Read ArticleSEC Charges Additional 13 Unregistered Brokers Who Sold Woodbridge Securities to Retail Investors
December 19, 2018The Securities and Exchange Commission today announced charges against an additional 13 individuals and 10 companies for unlawfully selling securities[...]
Read ArticleSEC Proposes Rule Changes for Fund of Funds Arrangements
December 19, 2018The Securities and Exchange Commission today voted to propose a new rule and related amendments designed to streamline and enhance[...]
Read ArticleSEC Proposes Risk Mitigation Techniques for Uncleared Security-Based Swaps
December 19, 2018The Securities and Exchange Commission today voted to propose rules requiring the application of risk mitigation techniques to portfolios of[...]
Read ArticleSEC Adopts Rule of Practice 194
December 19, 2018The Securities and Exchange Commission today announced that it has voted to adopt Rule of Practice 194. In general, this[...]
Read ArticleSEC Approves 2019 PCAOB Budget and Accounting Support Fee
December 19, 2018The Securities and Exchange Commission voted today to approve the 2019 budget of the Public Company Accounting Oversight Board (PCAOB) and[...]
Read ArticleSEC Adopts Final Rules for Disclosure of Hedging Policies
December 18, 2018The Securities and Exchange Commission today approved final rules to require companies to disclose in proxy or information statements for[...]
Read ArticleSEC Charges Former Panasonic Executives
December 18, 2018The Securities and Exchange Commission today charged two former senior executives of the U.S. subsidiary of Panasonic Corp. with knowingly[...]
Read ArticleSEC Publishes Two Reports on Credit Rating Agencies Showing Continued Focus on Compliance and Competition
December 18, 2018Credit rating agencies registered with the SEC continue to promote compliance by enhancing their policies, procedures, and internal controls in response[...]
Read ArticleDaniel Kahl Named Deputy Director of the Office of Compliance Inspections and Examinations
December 18, 2018The Securities and Exchange Commission today announced that Daniel Kahl has been named Deputy Director of the agency’s Office of[...]
Read ArticleSEC Solicits Public Comment on Earnings Releases and Quarterly Reports
December 18, 2018The Securities and Exchange Commission today published a request for comment soliciting input on the nature, content, and timing of[...]
Read ArticleScott W. Bauguess, Deputy Director of the Division of Economic and Risk Analysis, to Leave the Agency After a Decade of Service
December 17, 2018The Securities and Exchange Commission today announced that Scott W. Bauguess, Deputy Director of the Division of Economic and Risk[...]
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