Regulators Put Long Overdue Dodd-Frank Incentive Compensation Rulemaking on Short-Term Agenda
When the SEC in mid-June unveiled its semi-annual update to the rulemaking agenda, an unfinished Dodd-Frank executive compensation rule was …
SEC Adopts Sweeping Rules for Private Fund Advisers
The Securities and Exchange Commission on Aug. 23, 2023, adopted new rules that increase the regulation of private funds. Under …
SEC Plans to Finalize 30 Proposed Rules in Near Term
When the Securities and Exchange Commission’s semiannual update to its rulemaking agenda was unveiled in mid-June 2023, there were 37 …
SEC Pauses Action Against Marcum Partner as Supreme Court Weighs Administrative Judge Constitutionality
The SEC on Aug. 7, 2023, indefinitely postponed its administrative action against a Marcum LLP partner while the Supreme Court …
SEC Adopts Sweeping Cybersecurity Rules, Requiring Timely Reporting of Significant Breaches
The SEC on July 26, 2023, voted 3 to 2 to adopt a March 2022 proposal that requires public companies …
SEC Schedules Vote to Adopt Cybersecurity Rules for Public Companies
The Securities and Exchange Commission on July 26, 2023, will consider adopting a March 2022 proposal that would require public …
Should PCAOB be Consolidated into SEC?
From time to time, a particular proposal or another has been floated to transfer the Public Company Accounting Oversight Board’s …
SEC Panel Recommends Third-Party Exam of Investment Advisers, Could Mean Big Boon for Accounting Firms
With a huge growth in the number of investment advisers over the last several years, the SEC’s inspection program has …
Cornerstone Research’s Elaine Harwood on Trends in PCAOB, SEC Accounting and Auditing Enforcement Actions
The number of SEC accounting and auditing enforcement actions rose by 55 percent in fiscal 2022 – with jumps in …
Stock Exchanges Delay Effective Date of Dodd-Frank Clawback Rules
The New York Stock Exchange LLC and the Nasdaq Stock Market LLC revised their proposed executive compensation clawback rules that …