All Reports articles
-
Blog
SEC allows shift from paper fund reports
The SEC voted unanimously Tuesday on initiatives to improve the experience of those who invest in mutual funds, ETFs and other investment funds.
-
Blog
New Report Shows SEC Bringing More, Larger APs Against Public Companies
A new report offers some interesting angles on the SEC's enforcement actions against public companies since 2010. Among other things, the report shows that since FY 2010, SEC enforcement has undergone a "dramatic shift" in its choice of venue for bringing cases against public company defendants, with a significant move ...
-
Blog
U.S. Chamber: 28 Recommendations on SEC Enforcement Practices
Today the U.S. Chamber of Commerce released an interesting, 64-page paper entitled, "Examining U.S. Securities and Exchange Commission Enforcement: Recommendations on Current Processes and Practices." The report offers 28 specific recommendations on how to improve the SEC enforcement process.