I see the following disclosure in many Form 10-Ks:
Who Visits The SEC's Public Reference Room Anyway?
Posted on January 31, 2018
Did The SEC's Pay Ratio Guidance Miss Conjunction Junction?
Posted on September 22, 2017
Last week, the Securities and Exchange Commission issued interpretive guidance to assist issuers in complying with the pay ratio rule. At the same time, the Division of Corporation Finance staff issued guidance concerning how companies might use...
The SEC's Flawed Changes To Exchange Act Forms
Posted on April 13, 2017
Title I of the Jumpstart Our Business Startups (aka JOBS) Act amended the Securities Act and the Exchange Act to provide some regulatory relief to issuers that qualify as an "emerging growth company". Recently, the Securities and Exchange Commission
Exactly What Part Of "To The Commission" Is Ambiguous?
Posted on March 09, 2017
The Dodd-Frank Act gave us many things, including Section 21F of the Securities Exchange Act of 1934. Section 21F, prohibits employers from retaliating against a "whistleblower". 15 U.S.C. § 78u-6(h)(1)(A). We need not guess about the definition of...
How Independent Is The SEC And How Independent Should It Be?
Posted on January 24, 2017
Can the President say "You're Fired!" to an SEC Commissioner?
Is This SEC Claim False And Misleading?
Posted on January 09, 2017
Last week, the Securities and Exchange Commission announced yet another whistleblower award. According to the SEC, the award totals more than $5.5 million dollars. Tellingly, we don't, and won't, know the exact amount. The headline to the SEC's...
