- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Joe Mont2016-10-06T11:15:00
Tandy representations—an attestation that comment letter reviews by SEC staff cannot be used as a legal defense—are no longer needed in filings, according to new guidance from the Division of Corporation Finance.
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2016-12-06T09:30:00Z By Mercedes Erickson
Nobody likes to get a comment letter from the SEC, but what happens when you don’t respond or comply with one? Mercedes Erickson has the answers.
2019-04-15T20:51:00Z By Joe Mont
The Trump administration is trying a new strategy to seize control over independent agencies’ rulemaking processes and the guidance they issue.
2019-04-10T20:14:00Z By Joe Mont
The Federal Reserve Board is seeking public comments on a regulatory framework that would more closely match the rules for foreign banks with the risks they pose to the U.S. financial system.
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