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No Playing Chicken With the SEC
Pondering the current state of hedge funds and private equity as a presenter at an alternatives industry event in Boston on Thursday of last week, I was struck by the vitality of an industry that, a...
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Is Too Much Transparency a Good Thing?
Transparency is an oft-repeated word these days. I can remember back to the good old days of Eliot Spitzer as New York AG crusading against equity analysts and tossing that word around. Sarbanes-Oxley...
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A New SEC Rule Proposal
I know we all have regulatory fatigue and the last thing we want is another rule. However, this is one we can all agree on. And by “we” I mean IR practitioners and Wall Street. My proposed rule seeks...
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Media Navel Gaze: December 3, 2012
The Week Unpeeled It appeared to be a somewhat quiet news week following Sandy, the election and the fiscal cliff, but the UK press itself was in the headlines writ large and clearly on the defense in...
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The SEC’s (Unintended) Effort To Roll Back Reg FD
Let’s not get too excited just yet over the SEC’s decision to allow public companies to utilize social media as a primary source for disclosure, provided they disclose to investors which platforms...
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Media Navel Gaze: April 8, 2013
The Week Unpeeled The jobs picture turned a little sour last week with growth well below expectations because of a non-farm number at only 88,000 and an unemployment rate down to 7.6 percent in March,...
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Step to the Mic: SEC to Require Some Defendants to Admit Wrongdoing
Securities and Exchange Commission Chairman Mary Jo White is changing how wrongdoings are resolved on Wall Street. Ms. White recently announced that the regulator plans to require some defendants to...
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SEC Votes to Amend Rules on Marketing by Funds
As of today, you have just 59 days left to submit comments to the SEC regarding a pretty major change to Rule 506 of the Securities Act, announced Wednesday. For the last 80 years, Rule 506...
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Media Navel Gaze: August 26, 2013
The Week Unpeeled Once again, the summer sizzle continued on the headline front (lots dealing with the media industry) with Microsoft CEO Steve Ballmer announcing his plans to step down next year in a...
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Race to the Truth: How Jamie Dimon’s PR Tactic Offset the SEC’s Penalty
Earlier this year, I authored a post on the benefits of SEC Chairman Mary Jo White’s new regulatory policy concerning public admissions of wrongdoing. At the time, this seemed like a progressive way...
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Big Manager Finally Advertises, But Will it Really Change Anything?
Since the JOBS Act was passed in September of 2013, all of us PR professionals have been wondering why there isn't anyone taking advantage of the advertising ban lift. In fact, business has virtually...
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