SEC Proposes Amendments to Modernize Business, Legal Proceedings & Risk Factor Disclosures Under Regulation S-K; SEC Clarifies Investment Advisers’ Proxy Voting Responsibilities & Application of Proxy Rules to Voting Advice; SEC Increases Fee Rates for Fiscal Year 2020
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February 2019 SEC Update
SEC In Shutdown; SEC Penalizes Issuer For Presenting Non-GAAP Financial Measures Without Giving GAAP Measures Equal Prominence; SEC Adopts Rule For Disclosure Of Hedging By Officers, Directors & Other Employees
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December 2018 SEC Update
OCIE Releases Examination Initiatives for Registered Investment Companies; OCIE Issues Risk Alert Related to the Cash Solicitation Rule for Investment Advisers; SEC Cracks Down on Unregistered Coin Offerings
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October 2018 SEC Update
SEC Chairman Wants More Individuals to Invest in Private Companies; SEC Awards More Than $54 Million to 2 Whistleblowers; Elad Roisman Sworn in as Newest SEC Commissioner; SEC Charges ICO Superstore and Owners with Operating as Unregistered Broker-Dealers
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August 2018 SEC/SRO Update
SEC Amends Definition of “Smaller Reporting Company”; Commissioner Piwowar Steps Down; SEC Adopts Inline XBRL For Tagged Data; SEC Proposes Whistleblower Rule Amendments
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June 2018 SEC/SRO Update
SEC Awards Whistleblower More Than $2.1 Million; Altaba, Formerly Known as Yahoo!, Charged with Failing to Disclose Massive Cybersecurity Breach, Agrees to Pay $35 Million; SEC Launches “SALI”—A New Investor Protection Search Tool; SEC Proposes Amendments to the “Loan Rule”
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Product Review: Kira
In mergers and acquisitions, a tremendous amount of time and money are spent on due diligence. Before a buyer can close, it must find and quantify the risks associated with the target company post-closing. Does the target own its intellectual property? Is it in violation of employment laws? Will its key customer or vendor contracts be compromised as a result of the transaction? The list of concerns can be extensive
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April 2018 SEC/SRO Update
SEC Issues Updated Cybersecurity Guidance to Public Companies; SEC Settles Four Auditing Cases with Accounting Firms; NYSE and Affiliated Exchanges Pay $14 Million Penalty for Multiple Violations of Regulation SCI
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February 2018 SEC/SRO Update
Robert Jackson and Hester Peirce Sworn in as SEC Commissioners; SEC Issues Agenda for Inaugural Meeting of the Fixed Income Market Structure Advisory Committee; SEC Staff Provides Regulatory Guidance for Accounting Impact of the Tax Cuts and Jobs Act; SEC Proposes Amendments to the Freedom of Information Act (FOIA) Regulations
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December 2017 SEC/SRO Update
“SEC Announces Measures to Facilitate Cross-Border Implementation of MIFID II; SEC Proposes Rules to Implement Fast Act Mandate; SEC Chairman Clayton Provides Update on Review of 2016 Cyber Intrusion Involving EDGAR System”