Not unlike the popular psychology that emerged in the late 20th century, in the legal world, “self-help” is a powerful notion that calls upon the individual to take an active role in creating his or her best legal outcome. For […]
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Tag: sec
Detecting Abnormal Trading Patterns Of Corporate Insiders
Illegal insider trading tends to be something we don’t hear about until it’s hit the big news networks and newspapers as the SEC goes for the throat of the accused. By then, unfortunately, those committing it have made their gains, […]
New SEC Announcement Offers Regulatory Clarity For ICOs
On July 25th, the SEC released a statement discussing tokens and digital assets. The announcement provided much-needed regulatory clarity on Federal securities laws for ICOs, which have raised over $1 billion in capital since their introduction. Also read: ICOs Using Blockchain […]
Be Skeptical Of What You Read In The NewsPaper – Question Everything
By Paul Sonkin author of Pitch the Perfect Investment: The Essential Guide to Winning on Wall Street As I get older, I am amazed at the lack of knowledge of reporters writing at major newspapers. In today’s Wall Street Journal […]
Why The SEC Is Terrified Of Cryptocurrency
The federal government is no match for innovation. This is something lawmakers have always known, and it is the reason state and federal regulations exist. But innovation, by its very nature, will always find a way around those regulations, resulting […]
What Is The SEC Doing To Blockchain Technology?
To be sure, the question in this article’s title is entirely rhetorical, because the regulators surely don’t know what they are doing. Certainly no one active in the blockchain industry knows precisely what the SEC is doing. That is being […]
Proxy Monitor 2017 – Finding: Climate Change Proposals Break Through
Mr. Copland is a senior fellow with and director of legal policy at the Manhattan Institute. Ms. O’Keefe is the Manhattan Institute’s Proxy Monitor project manager. Under rules promulgated by the Securities and Exchange Commission (SEC),[3] shareholders of publicly traded […]
Fiduciary Standards Update: No Delay, Two Confirmations And Three Significant Trends
Both the SEC and DOL have newly appointed leaders. But will this change the trajectory of the fiduciary standards debate ?Fiduciary Is The New F Word Alexander Acosta was confirmed as the Secretary of Labor on April 27, and Jay […]
Decoding The Valuation Report Process
In the aftermath of Dodd-Frank’s implementation, all registered private equity firms received letters from the Securities and Exchange Commission introducing the SEC’s Presence Exams. These exams, designed to engage, examine and report on areas of risk, largely focused on marketing […]
Fostering A Culture Of Compliance
Advisor Perspectives welcomes guest contributions. The views presented here do not necessarily represent those of Advisor Perspectives. Confidence and trust form the foundation of every investment advisory firm. As a result, investment advisors that actively foster commitment among employees to […]
SEC Chair Nominee Jay Clayton Looks Forward To Incentivize Activists
The nominee to replace Mary Jo White as chair of the Securities and Exchange Commission (SEC) faced a grilling by the U.S. Senate banking committee yesterday in which activism played a major role. Questioned directly about whether the SEC under […]