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The Securities and Exchange Commission today charged audit firm RSM US LLP and three senior-level employees with improper professional conduct for failing to properly audit Revolution Lighting Technologies Inc.’s (“Revolution”) financial statements over…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
What Are Dividend Stocks?
Dividend stocks are securities that include a regular distribution of the issuing company’s earnings.
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SEC Monitoring Impact of Hurricanes Ian and Fiona on Capital Markets
SEC Chair Gary Gensler has directed the staff to carefully monitor developments as a result of Hurricanes Ian and Fiona. While the safety of local residents is the highest priority, the SEC invites inquiries from any person with obligations under the…
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The Securities and Exchange Commission today charged Deloitte Touche Tohmatsu Certified Public Accountants LLP (Deloitte-China), the Chinese affiliate of the Deloitte global network of accounting firms, with failing to comply with fundamental U.S.…
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SEC Charges 16 Wall Street Firms with Widespread Recordkeeping Failures
The Securities and Exchange Commission today announced charges against 15 broker-dealers and one affiliated investment adviser for widespread and longstanding failures by the firms and their employees to maintain and preserve electronic communications.…
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The Securities and Exchange Commission today announced charges against 15 broker-dealers and one affiliated investment adviser for widespread and longstanding failures by the firms and their employees to maintain and preserve electronic communications.…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
SEC Charges Oracle a Second Time for Violations of the Foreign Corrupt Practices Act
The Securities and Exchange Commission announced settled charges requiring Oracle Corporation to pay more than $23 million to resolve charges that it violated provisions of the Foreign Corrupt Practices Act (FCPA) when subsidiaries in Turkey, the United…
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The Securities and Exchange Commission announced settled charges requiring Oracle Corporation to pay more than $23 million to resolve charges that it violated provisions of the Foreign Corrupt Practices Act (FCPA) when subsidiaries in Turkey, the United…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
Office of the Investor Advocate Releases Research Study on Fund Performance Benchmarks
Researchers from the SEC’s Office of the Investor Advocate (OIAD) released an independent research study examining the impact of mutual fund performance benchmarks on investor decision-making, and potential strategic behavior by firms in displaying…
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https://seclaw.blogspot.com/2022/09/office-of-investor-advocate-releases.html
Researchers from the SEC’s Office of the Investor Advocate (OIAD) released an independent research study examining the impact of mutual fund performance benchmarks on investor decision-making, and potential strategic behavior by firms in displaying…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.