SEC Seeks Applicants for Public Company Accounting Oversight Board Seat


SEC Seeks Applicants for Public Company Accounting Oversight Board Seat
The Securities and Exchange Commission today announced the start of the selection process to fill a seat on the Public Company Accounting Oversight Board (PCAOB) that will become vacant in October. The PCAOB appointment is for a five-year term from…

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Jury Finds For Musk


Jury Finds For Musk
A jury found that Musk was not liable for damages to Tesla investors for his “funding secured” tweet.
https://www.reuters.com/legal/securities-fraud-trial-over-elon-musks-2018-tweets-draws-close-2023-02-03/
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https://seclaw.blogspot.com/2023/02/jury-finds-for-musk.html

Activision Blizzard to Pay $35 Million for Failing to Maintain Disclosure Controls Related to Complaints of Workplace Misconduct and Violating Whistleblower Protection Rule


Activision Blizzard to Pay $35 Million for Failing to Maintain Disclosure Controls Related to Complaints of Workplace Misconduct and Violating Whistleblower Protection Rule
The Securities and Exchange Commission today announced that Activision Blizzard Inc., a video game development and publishing company, agreed to pay $35 million to settle charges that it failed to maintain disclosure controls and procedures to ensure…

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What To Do When Your Muni Bond Rating Is Withdrawn


What To Do When Your Muni Bond Rating Is Withdrawn
Publicly traded corporations that fail to file audited financial statements as prescribed by the SEC risk their stock tanking and being delisted from the exchange. Yet there is no consequence to those municipal bond issuers for the same failure to file. Until now.
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Cannabis Stocks Get Increased Attention As More States Legalize Weed — Do Industry Leaders Like Aurora, Cresco, Evolv And Others Deserve A Place In Your Portfolio?


Cannabis Stocks Get Increased Attention As More States Legalize Weed — Do Industry Leaders Like Aurora, Cresco, Evolv And Others Deserve A Place In Your Portfolio?
More and more states are legalizing marijuana with every passing year, but it’s still federally illegal. This may affect your decisions as an investor.
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SEC Publishes Annual Staff Report on Nationally Recognized Statistical Rating Organizations


SEC Publishes Annual Staff Report on Nationally Recognized Statistical Rating Organizations
The Securities and Exchange Commission today published a staff report that provides a summary of the staff’s examinations of nationally recognized statistical rating organizations (NRSROs) and discusses the state of competition, transparency, and…

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Small Business Advisory Committee to Host Meeting to Discuss Alternatives to Traditional Private Company Financing, Private Fund Reforms, and Public Company Investment Research


Small Business Advisory Committee to Host Meeting to Discuss Alternatives to Traditional Private Company Financing, Private Fund Reforms, and Public Company Investment Research
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its meeting on Tuesday, Feb. 7. The Committee will discuss alternative approaches to private company financing, the Commission’s…

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SEC Proposes Updates to Ethics Rules Governing Securities Trading by Personnel


SEC Proposes Updates to Ethics Rules Governing Securities Trading by Personnel
The Securities and Exchange Commission today proposed amendments to its ethics rules to strengthen and modernize its ethics compliance program. The amendments would add new requirements and prohibitions to the program, which already includes some of the…

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