Inside the SEC’s Focus on Financial Reporting Fraud

By Robert Herz2014-08-26T11:30:00

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SEC Searching for Rules Violations in Piles of Data

2014-10-15T15:45:00Z By Joe Mont
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SEC Searching for Rules Violations in Piles of Data.

2014-10-15T15:45:00Z By Joe Mont

One of the more significant trends in enforcement actions by the Securities and Exchange Commission recently may not be immediately obvious.Last month, an enforcement sweep resulted in charges and fines against 28 officers, directors, and other shareholders for failing to promptly report required information about their holdings and transactions in ...
News Brief
SEC exam priorities for 2026 signal heightened focus on firmwide compliance

2025-12-05T19:25:00Z By Oscar Gonzalez

The U.S. Securities and Exchange Commission’s (SEC) Division of Examinations released its 2026 examination priorities, which give companies a roadmap of areas of heightened risk and regulatory focus for next year.