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News & Events

SEC Update

SEC In Shutdown; SEC Penalizes Issuer For Presenting Non-GAAP Financial Measures Without Giving GAAP Measures Equal Prominence; SEC Adopts Rule...

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SEC Update

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

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SEC Update

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

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SEC/SRO Update

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

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SEC/SRO Update

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

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Product Review: Kira

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

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SEC/SRO Update

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

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SEC/SRO Update

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

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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...

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