SEC’s Financial Disclosure Requirements For Sub-Entities Of Registered Companies
As required by the JOBS Act, in 2013 the SEC launched its Disclosure Effectiveness Initiative and has been examining disclosure requ...
Home Archive by Category "SEC" (Page 6)
The Treasury Department Report To The President On Capital Markets
In October 2017, the U.S. Department of the Treasury issued a report to President Trump entitled “A Financial System That Creates Ec...
0
659
0
0
SEC Fall 2018 Regulatory Agenda
In October 2018, the SEC posted its latest version of its semiannual regulatory agenda and plans for rulemaking with the U.S. Office...
0
659
0
0
Equity Market Structure – Musings By The SEC; 15c2-11 And Penny Stocks
In March, SEC Chairman Jay Clayton and Brett Redfearn, Director of the Division of Trading and Markets, gave a speech to the Gabelli...
0
656
0
0
SEC Adopts Amendments To Business Descriptions, Risk Factors And Legal Proceedings
Just eight months following the rule proposal (see HERE), on August 26, 2020, the SEC adopted final amendments to Item 101 – descrip...
0
646
0
0
Changes In India’s Laws Related To Foreign Direct Investments- A U.S. Opportunity; Brief Overview For Foreign Private Issuers
Make Laura Anthony’s Blog Site #1 Click Icon Below and Vote NOW In June 2016, the Indian government announced new rules allowing for...
0
644
0
0
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...
0
639
0
0
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...
0
637
0
0
SEC Strategic Plan
On June 19, 2018, the SEC published a draft Strategic Plan and requested public comment on the Plan. The Strategic Plan would guide...
0
635
0
0