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“For tracking litigation, enforcement, and regulatory developments, Compliance Week
should be your prime source.”- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Bill would ease SEC requirements on employee stock
The U.S. House of Representatives has voted in favor of a bill that would reduce SEC disclosure requirements for certain companies that offer employees stock options.
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SEC modernizes rules on employee stock compensation
The SEC on Wednesday issued final rules that would raise the threshold for the enhanced disclosure requirement under Securities Act Rule 701, which allows companies to more easily pay their employees in stock.
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A push may be coming to re-examine stock ownership guidelines with an eye toward increasing holding requirements.
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News BriefCCO who was ‘sole person controlling’ investment firm charged with recidivist concentration violations
An investment company and its founder, president, and chief compliance officer flagrantly kept violating mutual fund rules for multiple years after settling with the Securities and Exchange Commission, the SEC said in a complaint against the company.