Article
FINRA to Operate Consolidated Audit Trail System
The Financial Industry Regulatory Authority (“FINRA”) is replacing Thesys Technologies as the bu...
April 30, 2019
Article
Center for Audit Quality Appoints New Executive Director
Earlier this week, the Center for Audit Quality announced that Citigroup’s Julie Bell Lindsay will...
April 11, 2019
Article
Form N-PORT Submission Deadline Delayed
In a press release issued on Wednesday, February 27, the Securities and Exchange Commission (“SEC...
March 11, 2019
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SEC Commissioner Condemns Registration Requirements for Private Funds
At a recent event hosted by the Bipartisan Policy Center, the Securities and Exchange Commission’s...
February 22, 2019
Article
Corp Fin Issues Interpretive Guidance on Board Diversity Disclosures
The Securities and Exchange Commission’s Division of Corporation Finance (“Corp Fin”) has issu...
February 14, 2019
Article
FAQs Outline SEC’s Functions During Government Shutdown
With the Securities and Exchange Commission (“SEC”) required to cease regular activities during ...
January 23, 2019
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SEC Chairman Criticizes Required Disclosures on Environmental and Social Ma...
Expressing his opinions last month about environmental, social and governance (“ESG”) reporting,...
January 18, 2019
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SEC Approves PCAOB’s 2019 Budget
One month after the new Public Company Accounting Oversight Board (“PCAOB”) leadership approved ...
January 17, 2019
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SEC Compliance Office Announces Examination Priorities for 2019
The Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinat...
January 16, 2019
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Investor Advocate Says SEC Gave Insufficient Analysis on Expanding Small Co...
An investor advocate with the Securities and Exchange Commission (“SEC”) believes the agency fai...
January 14, 2019
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SEC Officials Want Consistent Non-GAAP Metrics
As companies increase their use of non-GAAP measures, Securities and Exchange Commission (“SEC”)...
December 21, 2018
Article
SEC to Publish Concept Release on Exempt Offerings
According to its latest rulemaking agenda, the Securities and Exchange Commission (“SEC”) plans ...
December 20, 2018