- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Joe Mont2014-12-23T11:45:00
What the SEC giveth, the courts may taketh away—a point made clear lately by two conflicting messages for companies seeking to keep shareholder proposals off the proxy statement. At the SEC, a victory for Whole Foods suggests the agency might be more business-friendly in granting no-action letters this coming proxy ...
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2015-03-17T13:30:00Z By Joe Mont
When the SEC sends a formal inquiry into your company’s operations, you know you have a problem to be handled in strict ways. So what about when the SEC delivers an “informal” request—and all those speeches and opinions, for that matter, that can sound an awful lot like formal guidance ...
2025-05-22T15:46:00Z By Adrianne Appel
The Securities and Exchange Commission has charged cryptocurrency company Unicoin, three top executives, and its general counsel with defrauding investors of $110 million by selling them bogus “rights certificates” in a future cryptocurrency coin.
2025-05-22T14:37:00Z By Aaron Nicodemus
The Federal Trade Commission has ordered web hosting company GoDaddy to implement a “robust” information security program following at least three data breaches that the agency said were aided by lax cybersecurity measures.
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