Securities & Exchange Commission (SEC)
More Securities & Exchange Commission (SEC) Articles
Securities & Exchange Commission (SEC)
Heath Tarbert On Dodd-Frank Compliance Issues
Editor: The Dodd-Frank Act presents many new regulatory compliance changes for the financial sector, but also to public companies that had little or nothing to do with the financial crisis. Do you think these "reforms" will provide more benefits than costs? Tarbert: Obviously, the...
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Valuing Private Company Stock And Stock Options
Editor: Please tell our readers about your work at EisnerAmper. D'Uva: I am a partner in the Litigation Services Group and have been with the firm for 14 years. I primarily prepare valuations for many different purposes: estate planning and gifting, dispute resolution, financial reporting...
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The SEC Sanctions Broker For Failure To Maintain And Enforce Insider Trading Policies
The SEC sanctioned Janney Montgomery Scott LLC ("Janney"), a registered broker-dealer and investment adviser, for violating section 15(g)1of the Securities Exchange Act of 1934 (the "Exchange Act") by failing to have and enforce policies and procedures to prevent the misuse of...
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