Every year, autumn brings hayrides, changing leaves, family gatherings, sweater weather, the chance to savor a cup of black tea by a roaring fire—and a raft of Securities and Exchange Commission (SEC) ...

A trio of enforcement actions brought by the Securities and Exchange Commission in September sounds a warning bell for all companies to revisit their existing employee agreements, being particularly ...

NewYork(Thomson Reuters Regulatory Intelligence) - Corporate executives who feel left behind or simply lack time to build a Twitter following must have experienced a bit of schadenfreude when Tesla ...

These and other questions illustrate why complying with the U.S. Securities and Exchange Commission’s (SEC/Commission) amended Cybersecurity Disclosure Rule—which was formally adopted one year ago and ...

The revolving door between the U.S. cryptocurrency industry and Wall Street’s top cop has been particularly active this year — a trend that one former SEC lawyer who now defends crypto clients in the ...

Forbes contributors publish independent expert analyses and insights. Bruce makes the law and tax code understandable to everyone. As just about everyone knows by now, investors communicating on the ...

Costly Mistakes Last week, Transamerica settled SEC charges against its funds by agreeing to pay $97.6 million in refunds, interest, and penalties. That is among the pricier SEC sanctions in recent ...

Since enacting the Securities Exchange Act in 1934, Congress has repeatedly expanded the arsenal of the SEC to protect investors through enforcement actions. As a result, the SEC—though constrained by ...

SEC Problems: More information is emerging on why Democratic commissioner Luis A. Aguilar decided to vote against Securities and Exchange Commission Chairman Mary Schapiro's plan to regulate money ...