The Commission has announced an unprecedented enforcement initiative against officers, directors, and major stockholders for violating beneficial ownership reporting requirements and against public companies for their roles...more
Table of Contents:
Executive Summary; U.S. Securities and Exchange Commission; and Financial Industry Regulatory Authority.
Executive Summary -
This Outline highlights key U.S. Securities and Exchange...more
Changing SEC leadership defines its priorities for a new era of SEC enforcement.
At the annual "The SEC Speaks" conference on February 22 in Washington, D.C., Acting Director George Canellos and other senior officials...more