Enforcement cases by Trump’s SEC dropped to a record low

Over 93% of SEC cases filed against public companies in the agency’s fiscal year had been initiated under the prior ...

SEC Chair Atkins Wants Quality Over Quantity as Agency Enforcement Slows

If we reward the staff only for bringing enforcement actions, then we have discouraged the staff from determining not to ...
GMA Network

SEC exempts micro enterprises from audited FS requirement

The Securities and Exchange Commission (SEC) has exempted micro enterprises—namely stock and nonstock corporations with P3 ...

SEC Form 11-K: Employee Stock Purchase and Savings Plans Reporting

SEC Form 11-K is filed annually with the SEC to report employee stock purchases and savings plans, offering crucial insights ...
PLANADVISER

SEC’s Only Democratic Commissioner Leaves Agency

Caroline Crenshaw’s departure leaves the Securities and Exchange Commission with three Republican appointees, all of whom are ...
InvestmentNews

SEC drops new marketing rule guidance for testimonials, net-performance modeling

The federal regulator's latest notes give compliance teams breathing room on endorsements, while emphasizing its view on the ...
JD Supra

U.S. Securities and Exchange Commission to Host Roundtable on Executive Compensation Disclosure Requirements

The U.S. Securities and Exchange Commission (“SEC”) recently issued a press release announcing that it will host a public roundtable on June 26, 2025, to discuss executive compensation disclosure ...
Law

Securities and Exchange Commission v. Le

The U.S. Securities and Exchange Commission sued Linh Thuy Le and Trong Hoang Luu on Oct. 15 in California Central District Court over an alleged $26.5 million investment fraud scheme targeting ...