Securex Compliance provides content to ensure filers and issuers remain up to date on relevant SEC© updates and industry news
Publisher: Forbes Author: James Hampshire In April the US Securities and Exchange Commission’s Division of Investment Management released cybersecurity guidance for registered investment firms and advisors. It was hardly a surprise. The SEC© has shown increasing interest in cyber-security in recent years, urging publicly…
Author: Ben Walsh Publisher: Huffington Post More than 110,000 people have signed a petition to remove Mary Jo White as chairwoman of the Securities and Exchange Commission because she is too close to Wall Street to regulate it effectively, progressive group Credo…
Publisher: Reuters Author: Sarah Lynch The U.S. Securities and Exchange Commission is working to propose new rules to simplify the voting process for contested corporate board elections by permitting the use of so-called universal proxy ballots, SEC© Chair Mary Jo…
Publisher: The Street Author: Ronald Orol The Securities and Exchange Commission's enforcement unit is looking into whether several activist funds teamed up at target companies without disclosing their alliances. The unit is working quietly, sending several private inquiries for information to…
Publisher: Reuters Authors: Sarah Lynch and Joseph Menn U.S. securities regulators are investigating a group of hackers suspected of breaking into corporate email accounts to steal information to trade on, such as confidential details about mergers, according to people familiar…
Publisher: Fox Business News Author: Jason Hall There are lots of SEC© forms that investors have to wade through, but few are as important as the SEC© Form S-1, which is generally filed by companies in anticipation of their initial…
Publisher: Forbes Author: Catherine Foti After the Dodd-Frank Wall Street Reform and Consumer Protection Act was signed into law in 2010, speculation abounded as to whether the ambitious whistleblower bounty program would succeed and about how the Securities and Exchange…
Publisher: Reuters The rise of complex mutual and exchange-traded funds has exposed weaknesses in the outdated regulatory regime for the sector and could be putting retail investors at risk, a top U.S. regulator said Monday. "I am concerned that we…
Publisher: Marketwatch Author: Francine McKenna The US Securities and Exchange Commission thinks it can do what the audit regulator, the Public Company Accounting and Oversight Board (PCAOB) could not — require companies and their auditors to disclose the tenure of their…
Publisher: Reuters Author: Sarah Lynch The U.S. government is rejecting a recent ruling by a federal judge which found that the Securities and Exchange Commission's procedures for bringing charges against defendants in its in-house court may violate the Constitution. In…