This is one of the greatest speeches that Commissioner Aguilar has ever given. It’s an oldie but a goodie.  Still as relevant today as it was last year.  I guess I’m getting nostalgic for him already. The Importance to the Capital Markets of Updating the Rules Regarding Transfer Agents Commissioner Luis A. Aguilar U.S. Securities…

I probably focus too much on Commissioner Aguilar’s statements.  He’s the only SEC Commissioner I have personally met so I admit I’m probably a groupie. Commissioner Aguilar: Looking Back at The SEC’s Transformation (and a few other things) Commissioner Luis A. Aguilar U.S. Securities and Exchange Commission [*] Dec. 21, 2015 I started my tenure…

This story broke about Martin Shkreli in the New York Times recently.  If you remember, Shkreli bought certain pharmaceutical products and then raised the price astronomically. This is the same guy who ticked off the rap community when he bought the most expensive rap album ever made, which was the famous concept-art Wu Tang Album “Once…

Being a Responsible Steward: Ensuring that the SEC Implements Effective Cybersecurity Protocols for its Data Gathering Efforts Commissioner Luis A. Aguilar United States Securities and Exchange Commission[1] Dec. 16, 2015 I. Introduction The Securities and Exchange Commission’s recent initiatives to gather and analyze more information about the securities markets represent an essential component of being…

SEC: Sports Team Offering Is A Penny Stock Fraud FOR IMMEDIATE RELEASE 2015-278 Washington D.C., Dec. 11, 2015 —The Securities and Exchange Commission today announced fraud charges and a court-ordered asset freeze obtained against a Florida-based penny stock company falsely touting itself as “the largest publicly traded diversified portfolio of professional sports teams in the…

As many of you know, Congress and President Obama repealed the Dodd-Frank Act’s security-based swap data repository indemnification requirement.  More information about this is available here and here. SEC Commissioner Michael S. Piwowar released a statement today applauding their actions. Full text is below. Statement Regarding Repeal of Indemnification Requirement Commissioner Michael S. Piwowar Dec. 8,…

Keynote Remarks at the Women’s Forum of New York Breakfast of Corporate Champions: “The Pursuit of Gender Parity in the American Boardroom” Chair Mary Jo White New York, New York Nov. 19, 2015 Good afternoon, and thank you Mike [Fucci] for that kind introduction. It is great to be here. The Women’s Forum of New…

Testimony on Updating the Electronic Communications Privacy Act Andrew Ceresney Director, Division of Enforcement Before the Committee on the Judiciary, United States House of Representatives Dec. 1, 2015 Chairman Goodlatte, Ranking Member Conyers, and Members of the Committee: Thank you for inviting me to testify today on behalf of the Commission concerning the Email Privacy…

Commissioner Aguilar’s (Hopefully) Helpful Tips for New SEC Commissioners Commissioner Luis A. Aguilar A public statement published by the Securities and Exchange Commission U.S. Securities and Exchange Commission[1] Nov. 30, 2015 I have had an interesting and eventful run at the SEC since I was first sworn in on July 31, 2008, which was shortly…

How a Public Company Changes its Fiscal Year Are you thinking of changing your fiscal year-end?  It can be expensive.  When a public company wants to change its fiscal year it is an event that needs to have an 8-k filed.  On the Form 8-K a change in fiscal year is under Item 5.03, which…

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