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 S...
Home Archive by Category "SEC" (Page 12)
The SEC Has Proposed The Use Of Universal Proxy Cards
The SEC has seen a huge exodus of key officials and employees since the recent change in administration, and the ultimate effect of...
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The Acting SEC Chair Has Trimmed Enforcement’s Subpoena Power
In early February 2017, acting SEC Chair Michael Piwowar revoked the subpoena authority from approximately 20 senior SEC enforcement...
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SEC Issues Final Rules Requiring Links To Exhibits
On March 1, 2017, the SEC passed a final rule requiring companies to include hyperlinks to exhibits in filings made with the SEC. Th...
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SEC Statements On Cybersecurity – Part 2
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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The SEC’s 2018 Flex Regulatory Agenda
In December 2017, the SEC posted its latest version of its semiannual regulatory agenda and plans for rulemaking with the U.S. Offic...
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