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December 2018 SEC Update

OCIE Releases Examination Initiatives for Registered Investment Companies; OCIE Issues Risk Alert Related to the Cash Solicitation Rule for Investment...

October 2018 SEC Update

SEC Chairman Wants More Individuals to Invest in Private Companies; SEC Awards More Than $54 Million to 2 Whistleblowers; Elad...

August 2018 SEC/SRO Update

SEC Amends Definition of "Smaller Reporting Company"; Commissioner Piwowar Steps Down; SEC Adopts Inline XBRL For Tagged Data; SEC Proposes...

June 2018 SEC/SRO Update

SEC Awards Whistleblower More Than $2.1 Million; Altaba, Formerly Known as Yahoo!, Charged with Failing to Disclose Massive Cybersecurity Breach...

Product Review: Kira

In mergers and acquisitions, a tremendous amount of time and money are spent on due diligence. Before a buyer can...

April 2018 SEC/SRO Update

SEC Issues Updated Cybersecurity Guidance to Public Companies; SEC Settles Four Auditing Cases with Accounting Firms; NYSE and Affiliated Exchanges...

February 2018 SEC/SRO Update

Robert Jackson and Hester Peirce Sworn in as SEC Commissioners; SEC Issues Agenda for Inaugural Meeting of the Fixed Income...

2017 Regulatory Update - Third Quarter

OCIE Cybersecurity Observations In August, the Securities and Exchange Commission (the “SEC”) Office of Compliance Inspections and Examinations (“OCIE”) released...

Energy Report Card Brings Good News and Challenges

As a new school year dawns, the U.S. Energy Information Administration has fittingly released an energy report card for the...

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