SEA 1934 Rule 13a-15
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SEC’s Peirce outlines vision for keeping companies focused on maximizing value
Peirce’s prepared remarks at the Northwestern Securities Regulation Institute outlined seven principles a newly comprised securities watchdog should follow.
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SEC charges RR Donnelley for inadequate cybersecurity-related accounting controls
SEC settles charges over Exchange Act disclosure controls, but two commissioners dissent.
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Bribes, crypto fraud and unregistered brokers attract SEC charges
In this week’s roundup, we see a mix of charges, including disclosure failings within a donor data management software company.
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Activision Blizzard charged $35m for disclosure control failings and violating whistleblower rule
The gaming company failed to implement necessary controls to collect and review employee complaints about workplace misconduct.