Developments in Securities Regulation, Corporate Governance, Capital Markets, M&A and Other Topics of Interest. MORE
Enforcement Action
Yahoo/Altaba Agree to $35 Million SEC Penalty for Failure to Disclose Massive Security Breach
By Steve Quinlivan on
SEC Brings Enforcement Action for Inadequately Documented Perks but Does Not Impose Penalty
By Steve Quinlivan on
SEC Charges Platinum Equity for Misallocation of Broken Deal Expenses
By Steve Quinlivan on
CFTC Files Its First Anti-Fraud Enforcement Action Involving Bitcoin
By Steve Quinlivan on
SEC Charges Chief Compliance Officer for Failure to Verify Information
By Steve Quinlivan on
SEC Targets Lapses in Ownership Reporting in Battles for Corporate Control
By Steve Quinlivan on
SEC Says Mobile Phone Game is an Illegal Security-Based Swap
By Steve Quinlivan on
SEC Sends Another Message on Section 16 Filings
By Steve Quinlivan on
SEC Charges Private Equity Advisor with Conflicts for Law Firm Discounts
By Steve Quinlivan on