Legal Blog Articles by Kenneth C. Oh
Kenneth C. Oh is a securities offerings & corporate disclosures attorney who writes articles on securities offerings & corporate disclosures, mergers & acquistions, and investment banking.
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New Leadership Announces SEC Enforcement Priorities
Author: Kenneth C. OhDate: January 19, 2018
The new leadership of the Enforcement Division of the Securities and Exchange Commission (SEC) recently laid out its priorities for the upcoming year and beyond. The agency’s primary focus will be on cybersecurity, retail investors and accountability for individuals.
After much speculation about how enforcement may change under the Trump Administration, the SEC Enforcement Division announced the new priorities in conjunction with its annual report. According to Co-Directors Stephanie Avakian and Steven Peikin, five core principles will guide their enforcement decision-making. Below is a brief summary of what the SEC had to say about each principle:
New Rules To Facilitate Intrastate and Regional Securities Offerings
Securities and Exchange Commission Seeks to Facilitate Intrastate and Regional Securities Offerings When the Securities and Exchange Commission (SEC) announced...
Compliance Officer Awarded $1 Million Whistleblower Award
The Securities and Exchange Commission (SEC) recently announced the whistleblower award. An award that will give more than $1 million...
Here's How To Avoid March Madness Trademark
The NCAA men's basketball tournament aka March Madness always creates a nation wide stir. While it may be tempting to...
SEC Reviewing Rule Regarding Conflicting Proxy Proposals
In January 2015, Securities and Exchange Commission Chair Mary Jo White recently directed agency staff to review the scope of...