Tag: SEC

A new report from Freshfields examines the trends and regulatory developments that defined the 2026 proxy season, from a sharp ...

Investors won’t ignore a company’s lack of quarterly reporting and the controls that come along with it

In part of a flurry of end-of-term activity, the Supreme Court in late June overturned a 90-year-old precedent and held ...

The Sripetch decision eliminates a meaningful defense previously available to SEC defendants

The roller coaster journey of the SEC’s rules on public company reporting of climate-related risk has reached another valley, though ...

Requirements never effectively applied in face of immediate court battle

Uptake likely would depend on company size, age & competitive landscape

For broker-dealers planning their compliance priorities in 2026, FINRA actions deserves serious attention before the next cycle examination

Recent remarks by the chair of the SEC are raising red flags for long-standing principles

Regulators’ actions concerning AI in financial services are likely to increase in scope and frequency

Incident response programs, service provider oversight and 30-day notification requirements on the agenda

The SEC packed a month’s worth of major developments into just a few weeks — and compliance teams are sorting ...