It's strange enough that the proposal for financial institutions to limit incentive pay remains unimplemented 14 years after Section 956 of Dodd-Frank mandated it, but it's perhaps as strange that a group of banking regulators just re-proposed draft rules from 2016 and that the SEC is not among the agencies that re-proposed the rules.

The circumstances leading the SEC to charge a small independent auditor with "massive fraud" are egregious and not likely to be duplicated elsewhere. But the SEC's action provides a reminder for audit committees' role in overseeing the independent auditor.

Here's the intro from this Client Update: "The Criminal Division of the U.S.

Here's the third of the 21 hats that the corporate secretary wears (here's the blog about the second hat): "You're in the middle of the spider web.

Here's our latest edition of our monthly feature – a quick snapshot of recent developments:

Earlier this month, the PCAOB proposed rules requiring enhanced and standardized disclosure relating to public companies, with the intent of providing investors and other

Here's the teaser from this Client Update: "On April 23, 2024, the U.S. Federal Trade Commission voted 3-2 to ban the use of nearly all noncompete agreements in America's for-profit businesses (with only a few narrow exceptions).

This is the second of the 21 hats that the corporate secretary wears (here's the blog about the first hat): When you're wearing 21 hats, you'd better be organized. Otherwise, there's no way you can cope with all that you need to handle.

Here's something that I penned for "Insights" two years ago for my 20th year anniversary as a securities law blogger - it will be 22 years next week! Given my experience, I thought I would share a few ideas about what it takes to become a blogger that people will enjoy:

A few weeks ago, PLI held its annual "SEC Speaks" in DC and this year was more interesting than usual given all the rulemaking the SEC has done recently.

This Reuters article draws on these stats provided by Ceres that re

The Supreme Court speaks on MD&A! Last Friday, SCOTUS delivered an opinion that addressed MD&A - in Macquarie Infrastructure Corp. v.

Here's a Client Update that lists five takeaways from the SEC Enforcement Staff at the recent PLI "SEC Speaks" conference. Here's an excerpt with one of those takeaways:

This feature of our blog is where our in-house readers share tips, anecdotes and thoughts about things that come up in their daily practice.