By Joe Mont2015-02-23T11:00:00
Speaking recently at the Practicing Law Foundation’s “SEC Speaks” forum, various SEC commissioners detailed their priorities for 2015. Hot topics included the Commission’s reliance on in-house administrative proceedings, a disclosure regime that hasn’t kept pace with technological advancements, and the challenge of creating a more diverse workforce at the Commission.
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2015-03-03T10:30:00Z By Joe Mont
Every February SEC officials convene at the Practising Law Institute’s “SEC Speaks” conference, where commissioners can break news and staff can detail priorities for the New Year. The focus this year, from rulemaking to enforcement, was on financial reporting internal controls, and ways to improve audit committees. And, of course, ...
2025-12-17T20:09:00Z By Adrianne Appel
The 2025 year has been so rich with compliance stinkers, and rife with poor judgment, compliance missteps, outright malfeasance and greed, greed, greed, that it was almost impossible to choose just six epic compliance failures from this year’s massive poop pile.
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.
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