- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
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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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.
The Trump administration is trying a new strategy to seize control over independent agencies’ rulemaking processes and the guidance they issue.
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.
