SEC Form 10-K
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SEC proposes public company reforms to ease registered offerings
One of the most significant changes under the proposed rules would expand federal preemption to all registered securities offerings.
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Former pharma CEO agrees $30k settlement with SEC over fraud allegations
Anthony J Cataldo, who was accused of diverting millions in company funds, agreed to settle fraud allegations for a fraction of the amount regulators say he stole.
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SEC says ADM executive engineered accounting to preserve a growth story
The SEC emphasized ADM’s cooperation in resolving the matter.
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Canada’s SAR pilot program and a possible rule change from the SEC
Voluntarily adoption of semi-annual financial reporting (SAR) as part of a multi-year pilot is inline with SEC Chair Atkins supporting a shift from quarterly reporting.
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Banking groups ask SEC to nix the cybersecurity incident disclosure rule
American banking and financial industry advocacy groups have petitioned the SEC to repeal its cybersecurity incident disclosure rules.
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SIFMA C&L 2025: Panel discusses cyber risks and regulatory trends
Cyber threats are on the rise, but the SEC has signaled that it will backtrack on enforcing cybersecurity disclosures.
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Celito Tech’s Ravi Monangi and Ethan Grammer on compliant growth in life science
We explored how small and mid-sized pharmaceutical and biotech companies can avoid costly early compliance mistakes and minimize risk as they scale.
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Hotel asset manager settles with SEC over cyber breach misreporting
The charges reflect the SEC’s sustained focus on accurate cybersecurity statements.