Tag Archives: SEC

5 Financial News Stories You May Have Missed: SEC’s New Driver

5 Financial News Stories

This week: The SEC appears to have new coordinates in the GPS and a new driver. Continue reading →

#SEC Likes Social Media After All

SEC Likes Social Media After All

Last December, the U.S. Securities and Exchange Commission (SEC) took issue with a Chief Executive Officer after he used his Facebook page to provide an update on the company’s business activities. But that was months ago. Continue reading →

5 Financial News Stories You May Have Missed: Wakey-wakey

5 Financial News Stories

This week in financial news: Ponzi schemes, flood insurance, and a surprising electronic twist in Cyprus. Continue reading →

It’s That Magic Time Again: To Review One’s Insider Trading Plans

Insider trading

As you would expect, corporate executives tend to own some of their corporation’s stock and may be receiving it as a form of compensation, especially at public companies. When you consider that these shares may be sold at some point, … Continue reading →

5 Financial News Stories You May Have Missed: Certifiable

5 Financial News Stories

This week: The Supreme Court, SEC, fraud statute of limitations, class actions, vanishing small banks, and Henry V. Continue reading →

5 Financial News Stories You May Have Missed: Taking Credit

5 Financial News Stories

This week: S&P, MaryJo White, Dodd-Frank, and The Revenge of the College Graduates Continue reading →

5 Financial News Stories You May Have Missed: Tempting Fate

Tempting Fate

In the news this week: tempting the fates, setting compliance officers free, trickle-down cyber risk, and more. Continue reading →

Not All Crowdfunders Can Be Crowd-pleasers, Even Under the JOBS Act; MA Charges Two

Frauds happen every day, of almost all sizes and shapes. But when the rules change, as they did with the Jumpstart Our Business Startups (JOBS) Act we get excited, and rightly so, about how the changes may impact the liability … Continue reading →

Judge Refuses to Approve an FCPA Settlement Without Additional Detailed Reporting

Another Court Rejects SEC Deal

A theme we’ve seen in the new world of increased governmental enforcement in the U.S. has been the reluctance by the courts, in some instances, to approve the resulting settlements. Just last week a judge refused to approve a settlement … Continue reading →

JOBS Act Update: Penny Stock, Pound Foolish

Penny Wise

Last month, the SEC brought its first charges of securities fraud and an order to halt sales of the stock of a JOBS Act-traded company, Caribbean Pacific Marketing. Continue reading →