- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Joe Mont2016-06-01T10:45:00
The SEC is seeking comment on nearly 350 questions regarding the Commission’s Regulation S-K effectiveness review. At last week’s Compliance Week conference, Karen Garnett of the Division of Corporate Finance headlined a panel discussion on the process thus far. Joe Mont has more.
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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.
2025-05-21T14:11:00Z By Aaron Nicodemus
Securities and Exchange Commission Chair Paul Atkins indicated he favors changing the agency’s requirement that only the wealthy can invest in so-called “closed-end” private equity funds and hedge funds.
2025-05-20T20:50:00Z By Adrianne Appel
The Securities and Exchange Commission has too many vacancies following efforts by the Trump Administration to reduce the overall size of the federal government, SEC Chair Paul Atkins told Congress Tuesday.
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