Tag: SEC

Compliance is a key issue for all firms. Many companies use the U.S. sentencing guidelines as a starting point. In other instances, regulators craft a starting point with rules that direct the creation of programs. This is true, for example, …

OCIE On Compliance Read More »

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Last week as everyone celebrated the Thanksgiving holiday, the Commission continued to schedule meetings regarding proposed rule revisions. The rules to be considered involve select offerings tied to compensation. The Enforcement Division filed two new actions in advance of the …

This Week In Securities Litigation (Week of November 30, 2020) Read More »

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