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“For tracking litigation, enforcement, and regulatory developments, Compliance Week
should be your prime source.”- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Bill would ease SEC requirements on employee stock
The U.S. House of Representatives has voted in favor of a bill that would reduce SEC disclosure requirements for certain companies that offer employees stock options.
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SEC modernizes rules on employee stock compensation
The SEC on Wednesday issued final rules that would raise the threshold for the enhanced disclosure requirement under Securities Act Rule 701, which allows companies to more easily pay their employees in stock.
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Do CEOs have enough skin in the game?
A push may be coming to re-examine stock ownership guidelines with an eye toward increasing holding requirements.
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News BriefFirm, two execs fined, including ex-CCO, for misappropriating $220K, SEC alleges
Two executives at New York-based Momentum Advisors, including the firm’s chief compliance officer, allegedly misappropriated more than $220,000, the Securities and Exchange Commission said.