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.
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, ...
2025-09-04T17:31:00Z By Adrianne Appel
The majority owner of a Pennsylvania investment firm faces 100 years of prison time and huge fines for allegedly running a $770 million Ponzi scheme centered on an ATM company he also owned.
2025-08-27T19:46:00Z By Aly McDevitt
The SEC has named Margaret “Meg” Ryan, a senior military judge and Harvard Law lecturer, as its next Enforcement Division Director—an unconventional pick that could signal changes in enforcement strategy.
Site powered by Webvision Cloud