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April 5, 2022
The chair said his agency and the top U.S. derivatives regulator should work together to rein in cryptocurrency exchanges.
March 31, 2022
The Securities and Exchange Commission’s Division of Examinations intends to home in on municipal advisor obligations, transfer agents and municipal issuer disclosures.
March 31, 2022
Securities and Exchange Commission Chair Gary Gensler tamped down speculation that a deal is brewing to keep about 200 Chinese stocks from losing their listings, signaling that only total compliance with U.S. audit inspections will allow the companies to keep trading on American markets.
March 16, 2022
The Securities and Exchange Commission has charged Texas' Crosby Independent School District and two individuals in connection with the school district’s 2017 fiscal year financial statements.
February 16, 2022
In 2021, at both the SEC and the PCAOB, accounting and auditing enforcement activity and monetary settlements decreased. Together, the SEC and PCAOB publicly disclosed 52 accounting and auditing enforcement actions and monetary settlements totaled approximately $159 million
February 16, 2022
In 2021, at both the SEC and the PCAOB, accounting and auditing enforcement activity and monetary settlements decreased. Together, the SEC and PCAOB publicly disclosed 52 accounting and auditing enforcement actions and monetary settlements totaled approximately $159 million
February 16, 2022
The Securities and Exchange Commission eased up dramatically on accounting and enforcement activity last year during a period of transition at the SEC, but the Public Company Accounting Oversight Board increased its enforcement amid a shakeup at the PCAOB.
February 11, 2022
The SEC terminated its latest proceedings against the city after an independent consultant found the city was in "substantial compliance" with a 2014 judgment.
February 7, 2022
The defendants believe the charges are lacking on numerous levels while the SEC argued that fee-splitting is a clear and known rule violation.
February 2, 2022
None of this is to say that we are concerned for the private funds industry. Consumer confidence and spending remain robust, capital remains historically cheap, and private equity investment is strong, but the current market and regulatory environment is unlikely to persist.