Browsing: Securities and Exchange Commission
‘Judge, Jury and Executioner’: How the SEC is finally leveling the playing field on its dreaded ‘Wells Notice’ enforcement process
As Securities and Exchange Commission defense counsel, we can attest first-hand to the dread our clients experience when we inform…
A whopping 72% of S&P 500 companies disclosed AI as a ‘material risk’ on their 10-Ks this year. They’re most worried about reputational threats
AI is everywhere these days—and that means so is AI risk. Among S&P 500 companies, 72% mentioned AI as a material…
President Donald Trump wants corporations to “no longer be forced” to report earnings every quarter. In a Truth Social post…
Crypto hoarding brings a stock pop for small firms—and in some cases shows patterns of possible insider trading
In mid-July, the stock for the cancer drug developer MEI Pharma skyrocketed. It wasn’t because the small company, first listed…
Former SEC commissioner and AI CEO: An AI-enabled future is inspiring, but it takes planning and work
Artificial intelligence may end up being more impactful than the Industrial Revolution. The private sector already has invested vast sums…
On Thursday, Securities and Exchange Commission chair Paul Atkins delivered an address signaling a new era for the top regulator.…
The SEC’s ‘Frankenstein patchwork of rules’ for disclosing executive perks is due for a makeover
In an era when Jeff Bezos and Mark Zuckerberg are household names, many C-suiters can be considered public figures. That…
SEC says prominent Georgia Republican bank boss defrauded 300 investors in $140 million Ponzi scheme
A prominent Georgia Republican was running a Ponzi scheme that defrauded 300 investors of at least $140 million, federal officials…
Republican banker accused in $140 million Ponzi scheme bought a Patek Philippe watch, jaunts to Kennebunkport, and put millions on his credit cards
The Securities and Exchange Commission has accused Edwin Brant Frost IV and his private lending company First Liberty Building &…
Two men who worked for the Securities and Exchange Commission’s EDGAR public filing system were charged with insider trading after…












