Posts from February 2019.
File Promptly Despite Wide-Ranging Effects of Government Shutdown (and Potential for Further Shutdowns)

The statement that appears atop the Securities and Exchange Commission ("SEC") website reads as follows: "The Securities and Exchange Commission is currently open, fully staffed and focused on our mission. With a short-term Continuing Resolution signed into place, all...

OCIE Risk Alert Provides Critical Guidance on Electronic Messaging

Information technology continues to provide amazing benefits to our industry, but it also brings with it a number of risks when it comes to compliance. Changes in the way mobile and personally owned devices are being utilized for business...

SEC Adopts Final Dodd-Frank Hedging Disclosure Rules

In a long-awaited development, the SEC has adopted its final rule "requiring companies to disclose, in proxy or information statements for the election of directors, any practices or policies allowing employees or directors to engage in certain hedging transactions...

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