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22 Dec 2006, 8:19 am
On the SEC site, see spotlight on Internal Control Reporting Provisions, which includes the SEC's proposed guidance, "Management Reporting on Internal Control Over Financial Reporting".This is the first guidance from the SEC directed specifically toward management, and intended to be applied in context with the newly released draft auditing standard (AS5) published by the PCAOB this week. [read post]
8 May 2014, 2:19 pm
This must have been a bit embarrassing for the SEC. [read post]
11 Jul 2012, 7:00 am
The SEC’s obligation to review its proposed rules through a cost-benefit analysis has been under fire for quite some time. [read post]
27 Aug 2023, 12:25 pm
The post SEC awards whistleblower more than $18 million for information on SEC regulation violations appeared first on Jeff Newman Law. [read post]
13 Jan 2023, 2:16 pm
” Further Reading: SEC Awards More Than $5 Million to Whistleblower More SEC Whistleblower News on WNN The post SEC Whistleblower Receives $5 Million Award appeared first on Whistleblower Network News. [read post]
15 Nov 2023, 9:22 am
Join NWC in Taking Action: Protect Internal Corporate Whistleblowers Further Reading: SEC Announces Enforcement Results for Fiscal Year 2023 SEC, CFTC Pass $2 Billion Award Milestone but Reforms are Still Needed More SEC Whistleblower News The post SEC Whistleblower Program had a Record-Setting 2023 Fiscal Year appeared first on Whistleblower Network News. [read post]
28 Sep 2011, 2:25 pm
The SEC alleges that Kurt... [read post]
22 Feb 2023, 3:25 am
The SEC Historical Society and Howard University School of Law are holding an in-person program featuring the Director of the SEC’s Office of Minority and Women Inclusion and three former SEC Chairs who served during the first decade of that office’s operations. [read post]
27 Apr 2008, 8:47 am
In 2004, the SEC changed... [read post]
22 Feb 2014, 2:17 pm
Stein offered remarks on the state of the SEC. [read post]
23 Apr 2008, 7:56 am
This fall the Virginia Law Review is hosting a symposium to mark the 75th anniversary of the SEC. [read post]
26 Jun 2016, 6:07 am
Securities and Exchange Commission (the “SEC”) proposed last week to replace completely its disclosure requirements for SEC-registered companies engaged in mining activities. [read post]
29 Aug 2012, 8:00 am
Essentially, it is probably a safe assumption that the SEC will never be “perfect. [read post]
29 Jun 2022, 6:30 am
SEC Brings ESG Enforcement Action and Proposes New ESG Rules On May 23, 2022, the SEC charged a registered investment adviser with misrepresenting its approach to ESG-related investments. [read post]
29 Jun 2022, 6:30 am
SEC Brings ESG Enforcement Action and Proposes New ESG Rules On May 23, 2022, the SEC charged a registered investment adviser with misrepresenting its approach to ESG-related investments. [read post]
17 May 2012, 5:00 am
The SEC makes mistakes. [read post]
29 Oct 2020, 2:36 pm
Read More: SEC Has Record Year of Whistleblower Rewards Financial & Investment Fraud SEC Whistleblower Program Whistleblower Reward Laws Our Other Posts on SEC Enforcement Actions Whistleblower FAQs Read SEC Makes Record Whistleblower Award of $114 Million at constantinecannon.com [read post]
5 Nov 2013, 7:00 am
SEC applies only to penalty actions. [read post]
23 Oct 2017, 7:32 am
Recently, the SEC voted to propose amendments to the regulation that defines the details of information required to be included in SEC filings by public companies, advisers and investment companies. [read post]
17 Sep 2020, 9:52 am
Yesterday, the SEC made significant changes to the standards brokers must meet in order to quote stock OTC. [read post]
