In late September, the SEC announced a sweep of settled charges for late beneficial ownership and insider transaction filings, including over $3.8 million in penalties against individuals and companies. This sweep was similar...more
On October 26, 2022, the U.S. Securities and Exchange Commission (SEC) adopted final rules implementing Section 954 of the Dodd‑Frank Act. The final rules were published in the Federal Register on November 28, 2022...more
12/6/2022
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Corporate Counsel ,
Corporate Governance ,
Department of Justice (DOJ) ,
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Dodd-Frank ,
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Publicly-Traded Companies ,
Section 10D ,
Securities and Exchange Commission (SEC)