Alexander Barzacanos
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SEC proposes public company reforms to ease registered offerings
One of the most significant changes under the proposed rules would expand federal preemption to all registered securities offerings.
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CFTC issues new enforcement cooperation policy
The advisory gives market participants even more opportunity for full enforcement declinations.
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CSA proposes stock buyback flexibility rules
The proposed rules would give Canadian issuers more room to repurchase shares privately.
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SEC ends gag rule
For more than 50 years, the rule prohibited settling defendants from publicly denying the SEC’s claims.
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Aluminum company to pay $549.5m in FCA duty evasion case
The end to a longstanding case shows how efforts to reclassify bulk products can cross the line into duty evasion.
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FINTRAC confirms details of tougher AML regime
Under the new rules, FINTRAC may impose much higher maximum penalties and make greater use of formal tools to force firms to fix compliance problems.
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SEC proposes letting public companies move to semiannual reporting
The proposal is the biggest reformulation of reporting rules in decades.
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SEC settles with Elon Musk for $1.5m over Twitter buyout
The settlement is a lukewarm end to a case in which the SEC alleged Musk avoided paying about $150m.