News + Insights

Wednesday, May 5, 2021

News

Red Oak Announces Hire of Industry Veteran, Aaron Berger, For Implementations Executive Role

Red Oak Compliance Solutions, a leader in advertising compliance technology for the financial services industry, recently hired regtech industry veteran Aaron Berger as Vice President of Implementations. In Aaron’s new... [...]

Monday, May 3, 2021

SEC Press Releases

SEC Charges Under Armour Inc. With Disclosure Failures

The Securities and Exchange Commission today charged sports apparel manufacturer Under Armour Inc. with misleading investors as to the bases of its revenue growth and failing to disclose known uncertainties concerning... [...]

Monday, May 3, 2021

SEC Press Releases

Jessica Wachter Named SEC Chief Economist and Director of the Division of Economic and Risk Analysis

The Securities and Exchange Commission today announced that Jessica Wachter has been appointed Chief Economist and Director of the Division of Economic and Risk Analysis (DERA). Dr. Wachter joins the... [...]

Thursday, April 29, 2021

SEC Press Releases

SEC Charges Eight Companies for Failure to Disclose Complete Information on Form NT

The Securities and Exchange Commission today charged eight companies for failing to disclose in SEC Form 12b-25 filings that their request for seeking a delayed quarterly or annual reporting filing... [...]

Thursday, April 29, 2021

FINRA Notices

Regulatory Notice 21-17

Summary FINRA is committed to supporting efforts by broker-dealer industry participants to foster diversity, inclusion and equal opportunity.1 FINRA seeks comment on any aspects of our rules, operations and administrative... [...]

Wednesday, April 28, 2021

SEC Press Releases

Alex Oh Resigns from SEC; Melissa Hodgman Named Acting Director of Enforcement

The Securities and Exchange Commission today announced that Alex Oh has resigned her position as Director of the Division of Enforcement for personal reasons. Melissa Hodgman will return to the... [...]

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Red Oak Announces Hire of Industry Veteran, Aaron Berger, For Implementations Executive Role

SEC Charges Under Armour Inc. With Disclosure Failures

Jessica Wachter Named SEC Chief Economist and Director of the Division of Economic and Risk Analysis

SEC Charges Eight Companies for Failure to Disclose Complete Information on Form NT

Regulatory Notice 21-17

Alex Oh Resigns from SEC; Melissa Hodgman Named Acting Director of Enforcement

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