Securities & Exchange Commission (SEC)
More Securities & Exchange Commission (SEC) Articles
Securities & Exchange Commission (SEC)
Valuing Private Company Stock And Stock Options
Editor: Please tell our readers about your work at EisnerAmper. D'Uva: I am a partner in the Litigation Services Group and have been with the firm for 14 years. I primarily prepare valuations for many different purposes: estate planning and gifting, dispute resolution, financial reporting...
Read MoreSecurities & Exchange Commission (SEC)
The SEC Sanctions Broker For Failure To Maintain And Enforce Insider Trading Policies
The SEC sanctioned Janney Montgomery Scott LLC ("Janney"), a registered broker-dealer and investment adviser, for violating section 15(g)1of the Securities Exchange Act of 1934 (the "Exchange Act") by failing to have and enforce policies and procedures to prevent the misuse of...
Read MoreSecurities & Exchange Commission (SEC)
Rule 14a-8 Amendments Allowing Shareholder Proposals On Proxy Access To Go Into Effect Shortly
On September 15, 2011, the Securities and Exchange Commission (SEC) issued a release announcing that amendments to Rule 14a-8 allowing shareholder proposals on proxy access will become effective as soon as the SEC's release is published in the Federal Register . As a result, companies soon...
Read More