Periodic Reporting for Public Companies in 2021: What Lies Ahead
The SEC has already or may yet update its periodic reporting requirements on a number of fronts. Most of these ...
Tag: SEC
SEC’S Examinations Division Issues Risk Alert on Review of ESG Investing
Washington D.C. (April 9, 2021) — The SEC’s Division of Examinations today issued a Risk Alert to highlight observations from recent exams ...
We Asked the SEC and Others About the Impact of Standardized ESG Reporting. The Answers Were Complicated.
With the SEC poised to take action on ESG compliance, companies are at an impasse: There’s no clear direction on ...
SEC Announces Enforcement Task Force Focused on Climate and ESG Issues
Washington D.C. (March 4, 2021) — The Securities and Exchange Commission today announced the creation of a Climate and ESG ...
SEC Division of Examinations Announces 2021 Examination Priorities
Washington D.C. (March 3, 2021) — The Securities and Exchange Commission’s Division of Examinations today announced its 2021 examination priorities, ...
Prepare Now to Comply with SEC’s Updated MD&A and Related Financial Disclosure Requirements
The SEC's updated MD&A rules will bring about key changes in financial disclosures, streamlining existing disclosure requirements. In adopting final ...
Biden’s Inauguration Heralds a New Era in Financial Regulation
Known for its “America First” policy, the Trump administration led a push to roll back financial regulatory measures. As Acuity ...
2 Surprises from the SEC’s New Fair Value Rule
The SEC recently adopted the Fair Value Rule, requiring fund investments to be fair valued where market quotations are not ...
Looking Forward: Corporate Enforcement in a Biden Administration
With Biden’s inauguration around the corner and additional political appointments on the horizon, what can corporate compliance officers and in-house ...
SEC Modernizes Reporting Requirements for Public Companies
Recent updates by the SEC to reporting requirements are meant to elicit improved disclosures. McCarter & English partner Peter Campitiello ...
10 Takeaways from the SEC’s Mutual Fund Derivatives Rule
Nutter McClennen & Fish’s Mark Jensen and Ian Roffman address the SEC’s recently issued rules for the use of derivatives. ...
How to Safeguard Your Firm from Regulatory Action
A recent SEC settlement with Interactive Brokers underscores the need for true commitment to compliance. Guidepost Solutions’ Megan Prendergast Millard ...
