Securities Law Exchange

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Fifth Circuit Vacates Nasdaq Board… Fifth Circuit Vacates Nasdaq Board Diversity Rules

How to Tackle Greenwashing Claims How to Tackle Greenwashing Claims

PCAOB Delays NOCLAR Rulemaking to 2025… PCAOB Delays NOCLAR Rulemaking to 2025 Amid Controversy and Election-Year Dynamics

Free Writings + Perspectives

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What to Expect in 2025 - Structured… What to Expect in 2025 - Structured Finance

FINRA Provides Guidance on Timing… FINRA Provides Guidance on Timing Requirements under Certain Broker-Dealer Financial, Operational and Reporting Rules in the Event of an Unexpected Close of Securities Markets (January 9, 2025 National Day of Mourning in Honor of President Carter)

January 9 Declared Federal Holiday in… January 9 Declared Federal Holiday in Honor of President Carter’s Funeral

Securities litigation and enforcement

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Carbon Credits Manipulation : An… Carbon Credits Manipulation : An Increased Scrutiny Over Fraud in a Booming Industry Could Cross the Canadian Border

A moral obligation to self-disclose a… A moral obligation to self-disclose a corporate wrongdoing: what does it entail for solicitor-client privilege?

False or Misleading Public Statements… False or Misleading Public Statements Made by Reporting Issuers in the Tech Industry

The Securities Edge

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Bob’s Best Books of 2024 Bob’s Best Books of 2024

Lighting a Candle Lighting a Candle

Law and Order: SEC Law and Order: SEC

Securities Litigation and Regulatory Enforcement

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Update to the Qualified Professional… Update to the Qualified Professional Asset Manager Exemption (QPAM)

SEC and DOJ Charge Founder and Promoters… SEC and DOJ Charge Founder and Promoters of “HyperFund” with $1.7 Billion Crypto Pyramid and Ponzi Scheme

Judge Rules That Terraform’s Crypto… Judge Rules That Terraform’s Crypto Assets Are Securities

SEC Actions

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This Week In Securities Litigation (Week… This Week In Securities Litigation (Week of January 13, 2025)

FRAUDENT BUSINESS MODEL FRAUDENT BUSINESS MODEL

This Week In Securities Litigation (Week… This Week In Securities Litigation (Week of January 6, 2025)

Andrew Abramowitz, PLLC

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Heads-Up for the Corporate Transparency… Heads-Up for the Corporate Transparency Act

Remote Work – Post-Pandemic Update of… Remote Work – Post-Pandemic Update of an Old Post

Tips on Limiting Liability for Passive… Tips on Limiting Liability for Passive Investors in Private Companies

FCPA Professor

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SEC FCPA Enforcement – 2024 Year In… SEC FCPA Enforcement – 2024 Year In Review

The “Foreign Officials” Of 2024 The “Foreign Officials” Of 2024

Like Prior Years, The Gray Cloud Of FCPA… Like Prior Years, The Gray Cloud Of FCPA Scrutiny Lasted Too Long In 2024

IM Insights

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FINRA Issues Comprehensive Guidance on… FINRA Issues Comprehensive Guidance on Compliance and Risk Monitoring

SEC Seeks to Level the Playing Field… SEC Seeks to Level the Playing Field with New Fund of Funds Rule

Newly Released SEC Statement Permits… Newly Released SEC Statement Permits Closed-End Funds’ Reliance on Control Share Acquisition Statutes as Defensive Measure

Investigations and Enforcement Blog

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We Are Moving “Investigations &… We Are Moving “Investigations & Enforcement Blog” to a New Web Platform

Disruptive Technology Strike Force: Year… Disruptive Technology Strike Force: Year in Review

Asia Pacific 2023 Anti-Corruption… Asia Pacific 2023 Anti-Corruption Rankings: Transparency International’s CPI and the TRACE Bribery Risk Matrix

Life Sciences Securities Litigation

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Annual Securities Class Action Report… Annual Securities Class Action Report Shows Life Sciences Firms Remain a Top Target for Claims

The BAYADA Companies Settle FCA and… The BAYADA Companies Settle FCA and Kickback Allegations for $17M

DOJ Announces $160 Million Settlement… DOJ Announces $160 Million Settlement with Mail-Order Diabetic Testing Supplier and Parent Company

Federal Securities Law Source

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Take charge of compliance: Ensure your… Take charge of compliance: Ensure your business meets Federal Corporate Transparency Act reporting requirements

Deadline approaching for public… Deadline approaching for public companies to adopt Dodd-Frank clawback policies

House votes to expand access to… House votes to expand access to accredited investor status

California Corporate & Securities Law Blog

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Several More Companies Propose Move From… Several More Companies Propose Move From Delaware To Nevada

Seriously, The CTA Imposes Only… Seriously, The CTA Imposes Only "Minimal Burdens"?

Questioning Delaware's Control Over… Questioning Delaware's Control Over Controlling Stockholders

Securities Compliance Sentinel

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The Dealerization of America by the SEC The Dealerization of America by the SEC

Updated 2023 Interactive Survey of State… Updated 2023 Interactive Survey of State 'Blue Sky' Filing Requirements Facilitates Compliance

Why Does the SEC Whine so Much? The… Why Does the SEC Whine so Much? The Sec’s Attack on Lawyers and a Way out of This Mess

Corporate & Securities Law Blog

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Things to Keep in Mind for Your Annual… Things to Keep in Mind for Your Annual Report on Form 10-K and Proxy Statement

Fifth Circuit Court of Appeals Vacates… Fifth Circuit Court of Appeals Vacates Its Own Stay Rendering the Corporate Transparency Act Unenforceable . . . Again

Delaware Supreme Court Declines to… Delaware Supreme Court Declines to Enforce Noncompete Against Company Founder Who Joined Competitor