SEC proposes to expand ‘test-the-waters’ perk to all issuers
The SEC has proposed expanding the “test-the-waters” accommodation—currently available to emerging growth companies—to all issuers, including investment company issuers.
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ArticleSEC’s ‘test-the-waters’ rule could be boon for future IPOs
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News BriefSEC reportedly investigating MassMutual’s accounting amid ongoing government shutdown
Even though the U.S. federal government is currently shut down, the U.S. Securities and Exchange Commission appears to still be at work. The financial regulator is reportedly investigating a major insurance and asset management company over its accounting practices.
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Basic PageSEC taps military judge as Enforcement Division Director
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.