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…
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…
