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The Securities and Exchange Commission recently released a Small Entity Compliance Guide for Issuers

Fresh from convicting numerous individuals, U.S. Attorney for the Southern District of New York Preet Bharara said that his office will focus, in appropriate cases, on holding institutions liable for wrongdoing.

On June 5, 2019, the Securities and Exchange Commission approved a package of rulemakings and interpretations designed to enhance the quality and transparency of investors' relationships...

It's not a secret that, under the Biden administration, the Securities and Exchange Commission has prioritized enforcement of disclosures concerning Environmental, Social...

Andrew M. Calamari, director of the SEC's New York Regional Office, will leave the agency this month after 17 years of service.

The SEC issued an Order making annual adjustments to transaction fee rates. The new rates will take effect on July 4, 2017.

The SEC voted to adopt final rule and form amendments to require certain public companies to include a hyperlink to each filed exhibit in their registration statements (see previous coverage).

On September 19, the SEC adopted new rules and amendments under Title VII of the Dodd-Frank Act establishing recordkeeping and reporting requirements...

The SEC adopted revisions to the Electronic Data Gathering, Analysis and Retrieval System ("EDGAR")

On August 5, the SEC adopted a final rule that requires a public company to disclose the ratio of the compensation of its CEO to the median compensation of its employees.

The SEC adopted technical corrections to a final rule on business conduct standards for security-based swap dealers and major security-based swap participants.

SEC Division of Investment Management Director David W. Grim notified SIFMA Executive Vice President and General Counsel Ira D. Hammerman that Investment Advisers Act Rule 206(3)-3T.

The SEC Advisory Committee on Small and Emerging Companies will hold its next meeting on Tuesday, July 19, 2016 at 9:30 a.m. EDT.

The SEC announced the agenda for the first meeting of the reconstituted Advisory Committee. The Committee will meet on February 25th beginning at 9.30am.

On May 10, 2017, the SEC Advisory Committee on Small and Emerging Companies (the "Committee") will meet to discuss several regulatory issues relating to the capital-raising activities of small issuers.

The SEC announced the agenda for its October 5, 2016 meeting of its Advisory Committee on Small and Emerging Companies.

The SEC Division of Trading and Markets granted no-action relief to an introducing broker from the requirement to transmit a customer's check to the clearing broker-dealer by noon of the next business day after receipt.