If you want to see a classic case of the problems with selective disclosure take a look at the recent SEC case against Presstek, Inc. and its former CFO. Presstek was having a bad quarter in 2006. The CFO knew that the company would be reporting bad financial performance for the quarter. The CFO told [...]
SEC Commissioner is a Blog Commenter
on February 24, 2010 in SEC News
So you write a blog post about the fiduciary duty of financial service providers to their clients. Actually, the real story is about the lack of fiduciary duty that brokers have to their customers. Then an SEC Commissioner chimes in. Tara Siegel Bernard writes for New York Times blog, Bucks: Making the Most of Your [...]
New Compliance and Disclosure Intepretations for Regulation FD
on August 18, 2009 in Compliance Bits and Pieces
As part of the Updates to Compliance and Disclosure Interpretations, the SEC has published new compliance and disclosure intepretations for Regulation FD. I found these CD&I’s particularly interesting in light of the SEC’s loss in the Cuban case. The SEC seems to be providing a better roadmap for disclosure of information. Here are a few [...]
Corporate Blogs and Tweets Must Keep SEC in Mind
on April 27, 2009 in Corporate Governance, Social Networking and Web 2.0
Richard Brewer-Hay made it into the Wall Street Journal and even got his photograph included. Who is he? He is part of the next wave of investor relations professionals who are using web 2.0 tools to provide investors with company information. In 2008, Richard started using a blog as part of eBay’s investor relations: eBay [...]
Corporate Governance of Public Web Sites
on November 14, 2008 in Anti-Money Laundering, Compliance Programs
Jane K. Storero and Yelena Barychev of The Legal Intelligencer and Law.com authored an article that the system of reviewing and monitoring information posted on a company Web site should be part of the disclosure controls included in the enterprise-wide risk management system established by the company: Corporate Governance of Public Web Sites. This article [...]
Recent Stories
- Proposed FATCA Regulations Released
- New Anti-Money Laundering Requirements for Non-Bank Mortgage Lenders and Originators
- Crowdsourcing the Crowdfunding Exemption
- Compliance, the Middle-Finger Malfunction, and the Reluctant Touchdown
- Compliance Bits and Pieces for February 3
- Margin Call
- Will Private Equity Fund Managers Get a Registration Exemption?
- Changes Coming With Anti-Money Laundering Requirements
- Defending Jacob
- Compliance Bits and Pieces
About
Social Media

Affilate
This website uses the Canvas Wordpress theme from WooThemes. (affiliate link)






