News and analysis for the well-informed compliance or audit exec. Select an option and click continue.
Annual Membership $499 Value offer
Full price one year membership with auto-renewal.
Membership $599
One-year only, no auto-renewal.
- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Joe Mont2017-06-30T09:30:00
The SEC will expand a benefit offered to emerging growth companies and permit all companies to submit draft registration statements relating to initial public offerings for review on a non-public basis.
THIS IS MEMBERS-ONLY CONTENT. To continue reading, choose one of the options below.
News and analysis for the well-informed compliance or audit exec. Select an option and click continue.
Annual Membership $499 Value offer
Full price one year membership with auto-renewal.
Membership $599
One-year only, no auto-renewal.
2017-07-18T09:15:00Z By Joe Mont
The SEC, through its new chairman, Jay Clayton, is looking to spark capital formation and new public offerings. Are its incentives enough?
2024-12-10T18:35:00Z By Adrianne Appel
A lack of supervision and internal controls at Morgan Stanley Smith Barney allowed four of its investment advisers to steal millions from customers before the behavior was detected, the SEC said in charging the firm.
2024-12-04T20:36:00Z By Aly McDevitt
President-elect Donald Trump appeared to strengthen his ties to the crypto industry when he nominated a popular crypto advocate, Patomak Global Partners founder Paul Atkins, to be the next chairman of the Securities and Exchange Commission.
Site powered by Webvision Cloud