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Top News In Sec Enforcement Today - Breaking & Trending Today

Largest Individual Whistleblower Bounty Award Ever Issued

This award is more than double the largest award in the amount of $114 million, which was issued in October 2020. To date, the SEC has awarded more than $1.5 billion to whistleblowers since the inception of its whistleblower program in 2011. ....

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Energy Transition: A New Risk Climate For Investors - Energy Law

Go to any private equity event in the last 12 months, and "energy transition" will have been discussed, meaning the shift in energy production away from fossil‑based systems to low or zero carbon ones. ....

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Crafting an annual compliance calendar for a solo RIA

The key is finding a way to handle increasingly complex compliance while continuing to serve clients effectively. ....

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Market responding to limited offering exemption enforcement

The SEC recently brought its first ever enforcement actions for violating its limited offering exemption, and market participants are beginning to tighten up their policies and procedures in response. ....

Hillary Phelps , Oppenheimer Co , Exchange Commission , Securities Disclosure Conference , Ann Gaunt , Leeann Gaunt , Public Finance Abuse Unit , Exchange Act , Washington Dc , Sec Enforcement ,

Study finds companies distract from bad news with unrelated news

A study found that when a company has bad news, it issues unrelated press releases on the same day it files with the SEC. ....

Jessica Watkins , Exchange Commission , Companies Do , University Of Notre Dame , Notre Dame Mendoza College Of Business , Nuance Communications Inc , Notre Dame , Nuance Communications , Mendoza College , Sec Enforcement , Crisis Management , Workplace Management , Corporate Ethics ,