Tag Archives: SEC

5 Key Themes from the SEC’s Cybersecurity Roundtable

SEC Cyber Security

On March 26th, the U.S. Securities and Exchange Commission hosted a day-long roundtable to discuss cybersecurity and the ensuing issues and challenges for the securities markets and public companies. Continue reading →

Cyber Vulnerabilities of Tech and Telecom Companies— as Reported to the SEC

Cyber abstract (blue)

It is virtually impossible to do business today without using technology and telecommunications, both directly and indirectly, in the delivery and payment of goods and services.  “Critical infrastructure” is what the federal government labeled this sector. Continue reading →

The SEC’s New World of “Vigorous Enforcement”

Tough Cop

It pays to listen when regulators signal their intentions. Back in October we addressed some of the new focus and arsenal that the U.S. Securities and Exchange Commission (SEC) announced, but it’s been a few months, and it’s a new … Continue reading →

5 Financial News Stories You May Have Missed: FIRREA Fires Back

5 Financial News Stories

This week: FIRREA , Liquidity Coverage Ratio, Basel III, Bitcoin, Elizabeth Warren, SEC, FDIC, Fannie Mae, Freddie Mac, and more. Continue reading →

Proposed Crowdfunding Rules Come to Town


It seems like just yesterday, but actually it’s been almost a year and a half since we looked at the opportunities and challenges of crowdfunding under the JOBS Act. Now, the U.S. Securities and Exchange Commission (SEC) has come back … Continue reading →

SEC as Beat Cop, Enforcing “Our Federal Securities Laws, Big and Small…”

Cop on beat

We recently wrote about some new enforcement principals and strategies of the U.S. Securities and Exchange Commission. But it may have escaped notice that the SEC is apparently not going to focus on potentially significant violations in terms of size … Continue reading →

The Government is Closed – What That Means for the SEC

Gone fishing (rust)

The impact of the government shutdown on investigations and litigation involving corporate defendants and their executives will be particularly hard felt in certain areas. Continue reading →

Broker-Dealers Slammed with Tougher Custody Requirements

Stockpiling money

The SEC has instituted new reporting requirements for broker-dealers.* The rules are designed to strengthen audit requirements and give the regulator better insight into the way securities firms maintain custody of customers’ accounts. Broker-dealers will now be required to file … Continue reading →

Five Free Tools – Financial Websites You Might Not be Using

MarketWatch: Map of the Market

There are plenty of great websites with financial news and market data. Most people are familiar with Bloomberg.com, WSJ.com, MarketWatch.com and dozens of others. But finding additional online tools is always welcome. Continue reading →

SEC Scorecard on Its Financial Crisis Enforcement Actions

SEC Enforcement Actions

The U.S. Securities and Exchange Commission (SEC) recently released an updated tally of its enforcement of credit crisis-related matters—some open, some concluded. With new prosecutions largely behind it, and new leadership at the helm, what we see on the scorecard … Continue reading →