Over the years the SEC’s Enforcement Division has brought a number of cases against companies, including J.P. Morgan Securities LLC , CBRE, Inc. and The Brink’s Company , for violating Rule 21F-17(a) of the Securities Exchange Act of 1934. This section of the Act prohibits...
(1 CPE) In addition to potential significant SEC rulemaking, SEC disclosure expectations continue to evolve as companies prepare for mid-year reporting, bringing new questions around comment letter trends, disclosure clarity, and emerging areas of regulatory focus. Join the SEC...
06-09-2026 | 01:00 PM - 02:00 PM CT
Another amazing year is in the books, and it’s all thanks to members like you. You showed up time after time. You engaged in discussions, read blogs, attended webinars, and supported chapters. You helped make 2025 our best year yet. Before we ring in 2026, we’ve compiled the ultimate 'Best of...
By Matt Kelly, Radical Compliance For more than 20 years now, internal audit and corporate accounting teams have strived to build effective internal accounting controls — necessary for strong financial reporting, Sarbanes-Oxley compliance, anti-fraud programs, and more. ...
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As companies prepare for their next proxy statement, the SEC Enforcement Division has sent a reminder to focus carefully on perks disclosures. In the latest of its on-going series of perks related enforcement actions, on December 17, 2024, Express, Inc . was charged with failure to...
By George Wilson On August 28, 2023, the SEC announced an Order of Suspension Pursuant to Rule 102(e) barring Peter Armbruster, CPA, former CFO of Roadrunner Transportation Systems, Inc. (“Roadrunner”), from appearing or practicing before the Commission. The bar was based on...
Former high-level staff of the Securities and Exchange Commission spent an hour answering live questions in front of nearly 400 people who attended the SEC Professionals Group Q3 national meeting in Nashville during the Workiva Amplify conference. Pro Group chapters across the country also tuned...
Q1 Meeting: A Q&A on SEC Rulemaking and Enforcement with David Peavler The SEC under Chair Gary Gensler has been more aggressive in its rulemaking and use of enforcement actions than commissions of the past, former SEC Regional Director David Peavler said at the Q1 SEC Pro Group...
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