Accounting August 28, 2026
The SEC Changed Focus, FINRA Has Not
A weakness in any part of the process can undermine the effectiveness of the wider supervisory program.
April 4, 2013
SEC continues probe of suspicious trading of H.J. Heinz stock, Swiss account
SEC has a lot to sort out in the H.J. Heinz Co. investigation
March 4, 2013
Consumer groups and state, federal regulators worry about equity crowdfunding small businesses
Soon, a new dimension to online fundraising, known as equity crowdfunding, will be available to investors, and that has regulators and consumer advocates on edge.
February 24, 2013
Small businesses see potential positives and perils from crowd-funding
A 2012 federal law known as the JOBS Act opens the door to allowing small, privately owned businesses to market ownership stakes in their ventures to people over the Internet.