Tag: SECLaw.com


SECLaw Tops The List of Securities Law Blogs

We did it again! Feedspot just published its list of the top 15 Securities Law Blogs, and we are #1. It’s not easy keeping pace with the ever changing laws of the financial markets, but we have been managing to do so for over 25 years. https://blog.feedspot.com/securities_law_blogs/ Visit us at […]


SEC Monitoring Impact of Hurricane Laura on Capital Markets

The Securities and Exchange Commission is closely monitoring the impact of Hurricane Laura on investors and capital markets. The SEC divisions and offices that oversee companies, accountants, investment advisers, mutual funds, brokerage firms, transfer agents, and other regulated entities and investment professionals will continue to closely track developments. They will […]


SEC Modernizes the Accredited Investor Definition

The Securities and Exchange Commission today adopted amendments to the “accredited investor” definition, one of the principal tests for determining who is eligible to participate in our private capital markets. Historically, individual investors who do not meet specific income or net worth tests, regardless of their financial sophistication, have been […]

Compliance News

SEC Charges Hertz’s Former CEO With Aiding and Abetting Company’s Financial Reporting and Disclosure Violations

The Securities and Exchange Commission today charged former Hertz CEO and Chairman Mark Frissora with aiding and abetting the company in its filing of inaccurate financial statements and disclosures. The SEC’s complaint alleges that as Hertz’s financial results fell short of its forecasts throughout 2013, Frissora pressured subordinates to “find […]