Don't miss out! Sign up today for our weekly newsletters and stay abreast of important GRC-related information and news.
The Filing Cabinet
"The Filing Cabinet," which covers compliance with the Dodd-Frank Act and the Sarbanes-Oxley Act, as well as other regulatory action from the Securities and Exchange Commission, executive compensation, and shareholder activism, is written by CW staff writer Joe Mont. Mont welcomes questions, comments, and statements from readers on SEC filing matters and will address them here when appropriate. Readers can contact him at joe.mont@complianceweek.com.
2 results found, filtered by:
No active filters
-
The Filing Cabinet Blog
SEC adopts changes to administrative proceedings
Jaclyn Jaeger | July 15, 2016
The SEC this week adopted amendments updating its rules of practice governing its administrative proceedings. After careful consideration of the comments received, the SEC adopted final amendments that, among other things, would adjust the timing of administrative proceedings and give parties additional opportunities to take depositions of witnesses. Jaclyn Jaeger reports.
-
The Filing Cabinet Blog
SEC Proposes Changes to Administrative Proceedings
Joe Mont | September 24, 2015
The SEC has proposed changes to how it conducts its administrative proceedings, amid growing scrutiny of “APs” in the business and judicial world. The measures clarify the timing of proceedings, simplify requirements to seek a review by the full Commission, and require those involved in administrative proceedings to file and serve documents electronically. More inside.
Displaying 2 results