During the aftermath of the great recession, many companies have become delinquent in their periodic quarterly (“10-Q”) and annual (“10-K”) securities filings because they could not raise enough capital to pay the multitude of professionals involved with their public company reporting.  As many commentators have noted, the Securities and Exchange Commission (“SEC”) generally requires later…

After a month-long trial, Michael Steinberg, a senior employee of SAC Capital was convicted of four counts of securities fraud and one count of conspiracy.  The SEC is going after Steven A. Cohen who denies any wrongdoing.  The SEC is going after other employees at SAC Capital until they have built up a stronger case…

From the Securities and Exchange Commission website: In November 2013, the SEC announced a roundtable on the current use of proxy advisory firm services by institutional investors and investment advisers. The roundtable took place in Washington, D.C., on Dec. 5, 2013, and provided a forum to discuss the role of proxy advisory firms, which was…

The Securities and Exchange Commission released a statement on Tuesday saying that five federal agencies jointly developed Section 619 of the Dodd-Frank Wall Street Reform Act (commonly known as the “Volcker Rule” Khan Academy has a pretty good background of origins of basic securities regulation). DealBook gives an interesting summary of each of the regulating…