Latest Dodd-Frank Posts
Supreme Court Finds Appointment of SEC ALJs Unconstitutional – What’s Next?
Litigation, Public Companies and Securities In Lucia v. Securities and Exchange Commission, the SEC brought an administrative action before one of its administrative law judges, or ALJ’s, against Raymond Lucia for allegedly using misleading slide presentations to deceive prospective investors using a retirement savings strategy called “Buckets of Money.” The ALJ that adjudicated the case issued an initial decision finding... Read more →
SEC Official Explains When Tokens and Coins are Securities
Public Companies and Securities William Hinman, Director, SEC Division of Corporation Finance, gave his personal views on when tokens and coins, which he referred to as digital assets, are securities and when... Read more →
House Subcommittee Reviews Legislation that would Fundamentally Alter Securities Litigation
Litigation, Public Companies and Securities The House Subcommittee on Capital Markets, Securities, and Investments held a hearing which reviewed two pieces of legislation that have been introduced: H.R. 2128, the “Due... Read more →
SEC Comments Begin on First Quarter Revenue Recognition Disclosures
Public Companies and Securities Many public companies became subject to the new revenue recognition rules when they filed their first quarter Form 10-Qs in 2018. It appears the SEC may not have wasted any time... Read more →
by Steve Quinlivan | June 18, 2018