Securities Regulation Daily
Breaking news on securities regulations.
Breaking news and expert analysis on Securities Regulation.
What good is the right knowledge if it’s at the wrong time?
Breaking news and expert analysis
- View full summaries of federal and state court decisions
- Access full text of legislative and regulatory developments
- Customize your daily email by topic and/or jurisdiction
- Search archives for stories of interest
24/7 access for a 24/7 world
- Forward information with special copyright permissions, encouraging collaboration between counsel and colleagues
- Save time with mobile apps for your iPhone, iPad, or Android
- Access all links from any mobile device without being prompted for user name and password
Advisory committee shares how COVID-19 is affecting small businesses
The SEC Small Business Capital Formation Advisory Committee held an ad hoc, remote meeting to discuss the pandemic’s impact on small businesses.
PCAOB 2019 annual report cites progress, leaves five-year plan largely unchanged
In a year that was reportedly marked by personnel issues and organizational disruption, PCAOB Chairman William Duhnke says the agency took steps to "move the PCAOB along the maturity curve."
Tender offer claims not domestic transactions, but reporting claim survives
The defendants never corrected inaccurate representations about not soliciting U.S. investors, and this was sufficient to state a claim under Section 13(d).
SEC awards compliance professional $450,000 for whistleblowing
For the third time in the whistleblower program’s history, the SEC awarded a person with compliance- or internal audit-related responsibilities who reported misconduct internally and then...
SEC grants COVID-19 relief to small offering issuers, muni advisers, and new EDGAR filers
The Commission’s orders temporarily extend deadlines for certain issuer filings due under Regulations A and Crowdfunding and push back the annual report filing for municipal advisers affected...