Securex Compliance provides content to ensure filers and issuers remain up to date on relevant SEC© updates and industry news
Publisher: Fortune Author: Dan Primack When normal people nod off behind the wheel, they hopefully wake up with a start and immediately course-correct. But when the SEC© is driving, it just shrugs and goes back to sleep. That’s the lesson…
Publisher: Law360 Author: Stephanie Russell-Kraft Former US SEC© Commissioner Chair Christopher Cox urged the agency Wednesday to exercise more discretion in its use of administrative proceedings in order to fight the troubling appearance that they unfairly favor the SEC. Speaking…
SEC© Press Release on 5/6/2015 The Securities and Exchange Commission today approved a proposal by the national securities exchanges and the Financial Industry Regulatory Authority (FINRA) for a two-year pilot program that would widen the minimum quoting and trading increments–or…
Publisher: Transcription Outsourcing LLC Author: Ben Walker Transcription services are a necessary tool for most companies at one time or another. Transcripts can take three to four times the length of a recording to complete by a trained transcriptionist. Noting…
SEC© Press Release: April 1st, 2015 The Securities and Exchange Commission today announced its first enforcement action against a company for using improperly restrictive language in confidentiality agreements with the potential to stifle the whistleblowing process. The SEC© charged Houston-based…
Publisher: Fortune Author: Stephen Gandel Speaking at a conference in New Orleans, the SEC© chair warned that activist investors need to watch what they say. The Securities and Exchange Commission hasn’t lost its patience with shareholder activism investors. But it…
Publisher: Forbes Author: Walter Pavlo On Nov. 9, 2009, Michael Kimelman’s home was searched by FBI agents, he was taken away in handcuffs and then charged with being a part of an insider trading scheme. Shortly after that was offered…
Publisher: Morgan Lewis As the SEC© continues to focus on it’s whistleblower initiative, companies should review their agreements and policies in light of the latest SEC© actions. The SEC’s Office of the Whistleblower has made clear that it will use…
Publisher: Marketwatch Author: Eric Garcia Supporters of a rule that would require public companies to disclose the ratio between executive and median employee pay say the SEC© should move soon to enact the regulation. Under Dodd-Frank law, publicly traded companies…
Publisher: Weil, Gotshal & Manges LLP Last week the SEC© proposed rules to implement Title V and Title VI of the JOBS Act Affecting Exchange Act Registration. Specifically the SEC© proposed to revise the rules governing exchange act registration, termination…