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Morgan Stanley’s $1M Settlement with SEC Highlights Importance of Regular Testing of Policies and Procedures to Safeguard Customer Information

Find out what additional steps every registered broker, dealer, investment company and investment adviser must take to demonstrate compliance with the Safeguards Rule. 

SEC Proposes to Raise Thresholds for Smaller Reporting Company Definition

On Monday, the SEC proposed changes to the definition of “smaller reporting company” that would allow more public companies to use the scaled-back disclosure applicable to these companies.

Tesla Uses Company Blog to Announce Bid for SolarCity

Last week, Tesla Motors announced its bid for SolarCity in a blog on its company website, rather than by press release through an established newswire.