Tag Archives: SECs

The SEC’s Shutdown: Corp Fin’s 14 FAQs

With the government partially shut down, the SEC will now follow its “operations plan” that it first devised a few years ago. Corp Fin notes on this page: We understand that the uncertainty regarding the SEC’s operating status in the … Continue reading

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SEC’s Chief Accountant Discusses Digital Assets

Recently, in a wide-ranging speech, the SEC’s Chief Accountant, Wes Bricker, provided his thoughts on how the SEC accounting staff analyzes accounting issues surrounding digital assets and distributed ledger technology. Bricker emphasized that companies must continue to maintain appropriate books … Continue reading

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The SEC’s “Best Interest” Proposal – A Step Forward or a Set Back? FiduciaryNews, ft. Tad Devlin and Edward “Ted” McNamara

Tad A. Devlin, partner with Kaufman Dolowich & Voluck in San Francisco, and Edward “Ted” McNamara, attorney in the KDV Fort Lauderdale office, were quoted in an article written by Christopher Carosa for FiduciaryNews published on September 5, 2018. After years … Continue reading

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The SEC’s Authority to Enforce the Bank Secrecy Act is Challenged

In the past few years, the SEC has become increasingly active in bringing enforcement actions based on broker-dealers’ alleged failures to comply with requirements of the Bank Secrecy Act (BSA), in particular that requirement that they file “Suspicious Activity Reports,” … Continue reading

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SEC’s Jay Clayton and William Hinman reiterate Howey is here to stay

In his June 6, 2018, interview with CNBC, Securities and Exchange Commission (“SEC”) Chairman Jay Clayton further clarified the regulatory landscape around cryptocurrencies, blockchain technology and initial coin offerings, nothing that the SEC would not support changing the traditional definition … Continue reading

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