Tag Archives: SEC

SHARE: The U.S. Supreme Court has held that to be covered by the anti-retaliation provisions of the 2010 Dodd-Frank Wall Street Reform and Consumer Protection Act, a whistleblower must report a violation of the securities laws directly to the Securities and Exchange Commission. The February 21 decision was made in the case of Digital Realty…

New, Improved Quarterly Enforcement Reports In July and September, NASBA released to Executive Directors the Quarterly Enforcement Report for the second and third quarters of 2017, respectively. The report compiles information from federal agencies regarding disciplinary and enforcement matters involving CPAs or CPA firms that might be of interest to boards. It includes information gathered…