SEC Spring 2018 Regulatory Agenda
On May 9, 2018, the SEC posted its latest version of its semiannual regulatory agenda and plans for rulemaking with the U.S. Office...
Home Archive by Category "SEC" (Page 11)
The Financial Choice Act 2.0
On February 9, 2017, the Chair of the House Financial Services Committee issued a memo outlining changes to the Financial Cho...
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SEC Cautionary Statement on Audits of Public Companies Operating in China
Eight years following the crash of the Chinese reverse merger boom and a slew of SEC enforcement proceedings, the SEC is once again...
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SEC Advisory Committee On Small And Emerging Companies Holds Final Meeting
On September 13, 2017, the SEC Advisory Committee on Small and Emerging Companies (the “Advisory Committee”) held its final meeting...
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The Division of Corporation Finance’s Disclosure Review And Comment Process
Those that regularly read my blog know that I sometimes like to go back to basics. This blog will revisit and discuss the SEC’s Divi...
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SEC Proposes Shortening Trade Settlement
On September 28, 2016, the SEC proposed a rule amendment to shorten the standard broker-initiated trade settlement cycle from three...
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