SEC© News and Public Statement is a content hub that provides up to date industry news and SEC© press releases.
Publisher: Investment News Author: Joyce Hanson The SEC© reported that new investigative methods and innovative technologies have led to a banner year for enforcement actions, leading to a record number of actions taken and fines levied for 2014. The SEC©…
Publisher: Financial Advisor Author: Ted Knutson Republican SEC© commissioner Michael Piwowar made wide ranging attacks on the agency’s enforcement priorities, specifically in regards to SEC© Chairman Mary Jo White’s “Broken Windows” enforcement policy. SEC© Chairman Mary Jo White has outlined…
Publisher: ComplianceWeek Author: Bruce Carton Last week, the SEC© issued a press release summarizing its enforcement results for the agency’s fiscal year 2014, which ended September 30th of this year. The SEC© emphasized it filed a record 755 enforcement actions…
SEC© Press Release The Securities and Exchange Commission today announced that in fiscal year 2015 the fees that public companies and other issuers pay to register their securities with the Commission will be set at $116.20 per million dollars. The…
Publisher: Securities & Corporate Governance Group Author: Doug Harmon The first wave of Form SD filings has come and gone, leaving us with more insight into supply chains and manufacturing processes than most of us ever wanted, yet much uncertainty…
SEC© Press Release 9/10/2014 SEC© Announces Fraud Charges against Biotech Company and Former Executive who failed to report Insider Stock Sales. Today, the SEC© announced charges against 28 officers, directors, or major shareholders for violating federal securities laws that require…
Publisher: Sutherland In early March, the SEC© Division of Enforcement announced its Municipal Continuing Disclosure Cooperation Initiative. The initiative offers issuers and underwriters an opportunity to voluntarily self-report any potential material misstatements or omissions related to past compliance with continuous…
Publisher: Accounting Today Author: Douglass Dalton The SEC© has recently announced the implementation of a new rule that oversees municipal advisors in order to crack down on potential conflicts of interests at the expense of both institutional and retail investors.…
Publisher: The National Law Journal Author: Nick Akerman and Parker Schweich The Securities and Exchange Commission has ramped up its efforts in prompting public companies to take proactive steps in ensuring the integrity of market systems and customer data protection.…
Publisher: Securities Law Perspectives Author: Mary Hansen and William Carr On July 8th, 2014, the SEC© announced a settlement of charges against a CA school district for misleading bond investors about its failure to comply with its continuing disclosure obligations…