Regulatory & compliance archive

Nasdaq has filed a proposal with the SEC for a rule change that would allow direct listings without an IPO. The move comes amid...

As US public companies prepare for the 2019 proxy season, the SEC has given them a nudge toward disclosing details on how they...

– The Guardian reported that Nissan confirmed it was being investigated by the SEC. Former Nissan leader Carlos Ghosn was arrested...

In the four years since the introduction of this category, this is the third time Graybar Electric Company has won the award for...

The key project for NW Natural’s compliance and ethics program in 2017 was a detailed and creative overhaul of the company’s code...

Visa has done it again, winning the best compliance and ethics program (large cap) award for the second year in a row. Among other...

– Politico reported that Rep Maxine Waters, D-California, the incoming chair of the House Financial Services Committee, is...

Companies may get a better idea this year of potential changes to how and when they report earnings, after the SEC called for...

– Reuters reported that Malaysian authorities on Monday filed criminal charges against Goldman Sachs and two of the bank’s former...

– The Wall Street Journal reported that US regulators said banks that find problems with legacy compliance programs when testing...