Supreme Court Disgorgement Case Looms Over SEC Enforcement
By Bill Flook Two years ago, the Supreme Court told the SEC that its practice of recouping ill-gotten gains on …
Divided SEC Proposes to make it more Difficult for Shareholders to Bring Proposals for Vote at Company Annual Meetings
By Soyoung Ho Despite strong opposition from investor groups, a divided SEC on November 5, 2019, decided to propose a …
Supreme Court Agrees to Review SEC Disgorgement Case
By Bill Flook The Supreme Court on November 1, 2019, agreed to hear a case challenging the SEC’s authority to …
SEC to Vote on Proposing Changes to Shareholder Proposal Process on November 5
By Soyoung Ho Despite investor opposition, the SEC has scheduled a public meeting for November 5, 2019, to consider proposing …
Senate to Vote on SEC Funding ‘In The Coming Weeks,’ Senator says
By Bill Flook The Senate will vote on a bill funding the SEC and other financial regulators for fiscal 2020 …
Chairman Clayton says SEC will Continue to Carefully Monitor Companies’ Cybersecurity Disclosures
By Soyoung Ho Cybersecurity issues remain a priority for the commission, said SEC Chairman Jay Clayton on October 23, 2019, …
SEC Proposes to Speed up Staff Review of Fund Offerings
By Soyoung Ho The SEC issued a proposal that would set up an expedited review process so funds, such as …
SEC Poised to Finalized Changes to Whistleblower Program
By Soyoung Ho The SEC is poised to finalize changes to its guidelines on whistleblower complaints—changes that consumer advocates are …
Investors to SEC: Back off on Increased Regulation of Proxy Advisers
By Soyoung Ho The Council of Institutional Investors (CII) and a coalition of investors told the SEC that they were …
Bipartisan Group of Senators Introduces Bill to Expand Dodd-Frank Whistleblower Protections
By Bill Flook A bipartisan group of senators has introduced legislation to expand Dodd-Frank Act protections for whistleblower to those …