SEC Chief Accountant Speaks On Initial Coin Offerings ( ICO’s)
On September 11, 2017, the SEC Chief Accountant, Wesley R. Bricker, gave a speech before the AICPA National Conference on Banks &...
Home 2017 (Page 3)
An Introduction To Distributed Ledger Technology (Blockchain Technology)
On July 13, 2017, FINRA held a Blockchain Symposium to assess the use of distributed ledger technology (DLT) in the financial indust...
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FINRA Proposes Expansion Of The OTCBB
In August 2016, FINRA quietly requested comment on a proposal to expand the now largely dormant OTC Bulletin Board quotation service...
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The Investment Adviser Advertising Rule
On September 14, 2017, the SEC Office of Compliance Inspections and Examinations (“OCIE”) issued a risk alert identifying the most f...
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SEC Chief Accountant Speaks On Financial Reporting
On June 8, 2017, the SEC Chief Accountant, Wesley R. Bricker, gave a speech before the 36th Annual SEC and Financial Reporting Insti...
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SEC Statements On Cybersecurity; An EDGAR Hacking – Part 1
On September 20, 2017, SEC Chair Jay Clayton issued a statement on cybersecurity that included the astonishing revelation that the S...
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SEC Completes Inflation Adjustment To Civil Penalties
ABA Journal’s 10th Annual Blawg 100 —————————————̵...
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SEC Proposes Rules to Modernize and Simplify Disclosures
On October 11, 2017, as part of the ongoing SEC Disclosure Effectiveness Initiative, the SEC published proposed rule amendments to m...
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SEC Adopts The T+2 Trade Settlement Cycle
ABA Journal’s 10th Annual Blawg 100 —————————————̵...
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Updates On Regulation A+
On September 14, 2017, the SEC issued three new Compliance and Disclosure Interpretations (C&DI) to provide guidance related to...
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