Carissa Occhipinto

Stinson LLP

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SEC Settles Charges Against Shift4 After Failing to Disclose Related-Person Transactions

In a settled enforcement action, the Securities and Exchange Commission (“SEC”) charged Shift4 Payments, Inc. (“Shift4”), a payment processing company based in Pennsylvania, with failing to disclose payments made to immediate...more

1/27/2025 / Corporate Governance , Disclosure Requirements , Enforcement Actions , Investors , Publicly-Traded Companies , Regulation S-K , Reporting Requirements , Securities and Exchange Commission (SEC) , Securities Regulation

SEC Announces Settlement with Express, Inc. for Failure to Disclose CEO Perks

On December 17, 2024, the Securities and Exchange Commission (“SEC”) announced that it had settled charges against Ohio-based Express, Inc. (“Express”). The SEC ultimately found that Express violated Sections 13(a) and 14(a)...more

12/24/2024 / CEOs , Executive Compensation , Failure To Disclose , Publicly-Traded Companies , Securities and Exchange Commission (SEC) , Securities Exchange Act of 1934 , Securities Regulation , Securities Violations , Settlement

Key Takeaways from the SEC's 2025 Exam Priorities

On October 21, 2024, the Division of Examinations (Division) of the Securities and Exchange Commission (SEC) published its 2025 examination priorities (2025 priorities). The release of the 2025 priorities is intended to...more

11/20/2024 / Broker-Dealer , Compliance , Cryptocurrency , Cybersecurity , Investment Adviser , Private Funds , Registered Investment Advisors , SEC Examination Priorities , Securities and Exchange Commission (SEC) , Securities Regulation

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