Law Blog Category: Securities Attorney

SEC Announces Enforcement Results For Fiscal Year-End 2016

On October 11, 2016, the SEC announced its enforcement results for fiscal year-end September 30, 2016 (FYE 2016).¬† In FYE 2016 the SEC filed a record 868 enforcement actions, including against companies and executives for reporting violations, misconduct by companies and gatekeepers, fraud actions and more resulting in judgments and orders totaling more than $4 Read the full article…

House Passes More Securities Legislation

SEC Advisory Committee Recommendations Related To Finders

The Materiality Standard; NYSE Amends Rules; FASB Proposed Guidance

SEC Advisory Committee On Small And Emerging Companies Recommends Modernizing Rule 147 for Intrastate Crowdfunding Offerings

SEC Issues Investor Alert Warning That Fantasy Stock Trading Websites May Violate Securities Laws

SEC Has Adopted Final Pay Ratio Disclosure Rules

A Summary Of The 2015 Amendments To The Nevada Revised Statutes

SEC Proposed Executive Compensation Clawback Rules