All SEC articles – Page 58
-
ArticleSEC seeking comment on ways to harmonize private securities offering exemptions
The SEC is requesting public comment on ways to simplify, harmonize, and improve the exempt offering framework to expand investment opportunities while maintaining appropriate investor protections.
-
Article
SEC finalizes change to auditor independence rules
The SEC has finalized its revision of auditor independence rules to change the threshold around lending relationships with clients that would raise concerns.
-
News Brief
More cheating charges at KPMG: SEC fines firm $50M
The SEC has fined KPMG for not only allegations of cheating on regulatory inspections, but also new charges of numerous auditors cheating on training exams.
-
ArticleICBC to pay more than $42M for improper handling of ADRs
Industrial and Commercial Bank of China Financial Services will pay more than $42 million to settle charges with both the Securities and Exchange Commission and the Department of Justice for the improper handling of “pre-released” American Depositary Receipts.
-
Article
Kraft Heinz cuts net income, continues with SEC probe
In a recently filed restatement, Kraft Heinz reduced its reported net income by $150 million going back to 2015 to correct employee misconduct in accounting.
-
ArticleOSI Systems: FCPA probes have been closed
DOJ and SEC investigations into market security company OSI Systems have officially been terminated. No further information was provided.
-
ArticleNew bill seeks to end regulatory stalemate with China
Bipartisan legislation proposes to increase oversight on China-based companies listed on U.S. exchanges and delist those that fail to comply in three years.
-
ArticleSEC finally prevails with investment advice ‘best interest’ rule
The Securities and Exchange Commission has adopted rulemaking intended to enhance the quality and transparency of investor relationships with investment advisers and broker-dealers.
-
ArticleSEC takes questions on knock-on effects of new lease rules
SEC staff members met with the Center for Audit Quality’s SEC Regulations Committee to acknowledge concerns and answer questions associated with new lease accounting rules.
-
Article
How to handle an unpredictable CEO like Elon Musk
There are activist CEOs and rogue CEOs. And then there’s Elon Musk, whose name came up quite often in a Compliance Week panel discussion about what to do when a leader goes off the rails.
-
Article
Bricker resigns chief accountant post at SEC
Wes Bricker, chief accountant at the Securities and Exchange Commission, is leaving his post in June, to be succeeded by Sagar Teotia as acting chief accountant.
-
Article
SEC eyeing non-GAAP numbers that alter GAAP
SEC staff members are signaling to public companies that they still have concerns over uses of non-GAAP measures that seem to thumb their nose at GAAP.
-
ArticleSEC focus: Reduce burden while protecting investors
The SEC has stuck to its promise to focus on initiatives that can improve capital formation and lighten the regulatory burden.
-
ArticleSEC awards whistleblower $4.5M in landmark case
For the first time ever, the Securities and Exchange Commission has awarded a whistleblower whose internal reporting led to a successful SEC case and related action.
-
ArticleSEC to hold roundtable on public marketplace
Coming this summer: An SEC roundtable for the public and SEC staff to discuss short-term and long-term management, the periodic reporting system, and SEC regulations.
-
Article
Agio enhances SEC cyber-security mock audit service
Agio, a cyber-security and managed IT services provider for financial services, announced enhancements to its SEC cyber-security mock audit service.
-
Article
GE shareholders still want new auditor, vote suggests
While the rancor appears to have softened a bit, General Electric shareholders are still signaling to the audit committee that they want a new auditor.
-
ArticleSEC approves ‘long-term’ stock exchange
The SEC has approved a new national securities exchange committed to long-term investing.
-
ArticleOCIE’s Driscoll on importance of CCOs
Peter Driscoll, director of the SEC’s Office of Compliance Inspections and Examinations, recently spoke on the role of compliance officers in protecting retail investors.
-
ArticleSEC proposes actions to bolster cross-border swap rules
The SEC has proposed a package of rule amendments and guidance for improving the regulation of cross-border swaps transactions.