Capital Markets & Securities Law Watch Latest SEC Adopts Amendments to Proxy Voting… SEC Adopts Amendments to Proxy Voting Rules to Enhance the Timeliness and Independence of Proxy Voting Advice SEC Staffing Up for a New Era of Crypto… SEC Staffing Up for a New Era of Crypto Control SEC Proposes Sweeping New Regulations of… SEC Proposes Sweeping New Regulations of SPAC Transactions
Securities Fraud Lawyer Blog Latest SEC Chairman Gensler Advocates for… SEC Chairman Gensler Advocates for Cryptocurrency Market Regulation SEC Sets its Sights on SPACs With Newly… SEC Sets its Sights on SPACs With Newly Proposed Disclosure Rules Climate-Related Risks: SEC Releases… Climate-Related Risks: SEC Releases Proposed Disclosure Rules
The Securities Law Blog Latest SEC Proposes Rules to Improve Clearing… SEC Proposes Rules to Improve Clearing Agency Governance and to Mitigate Conflicts of Interest SEC Charges Surgical Implant… SEC Charges Surgical Implant Manufacturer Surgalign and Former Senior Executives with Accounting and Disclosure Fraud SEC Appoints Anthony C. Thompson to… SEC Appoints Anthony C. Thompson to Second Term on PCAOB
Enforcement Highlights Latest SEC Examinations 2022 Priorities: Reg… SEC Examinations 2022 Priorities: Reg BI, ESG, Private Funds, Information Security & Operational Resiliency, and Crypto FINRA Wades into the Controversial… FINRA Wades into the Controversial Deep-End of CCO Supervisory Liability The SEC Sues Investment Advisory Firm in… The SEC Sues Investment Advisory Firm in Connection with Alleged Failure to Disclose Revenue Sharing and Other Financial Conflicts, as Well as Converting Clients to Wrap Accounts Without Considering Whether it is in Clients’ Best Interests
Public Chatter Latest In-House Corner: The #1 Thing Freaking… In-House Corner: The #1 Thing Freaking You Out at Work - Part 2 Getting Ready for Universal Proxy: 3… Getting Ready for Universal Proxy: 3 Things Serving on a Non-Profit Board: Putting… Serving on a Non-Profit Board: Putting Yourself in Their Shoes
Elizabeth L. Carter Blog Latest Could SEC’s mandating ESG disclosures… Could SEC’s mandating ESG disclosures harm Black businesses? Can Blockchain Support the Solidarity… Can Blockchain Support the Solidarity Economy? Part 2 - Tokenization Black Women’s History: Fannie Lou… Black Women’s History: Fannie Lou Hamer
Federal Securities Law Source Latest Increasing commentary on the importance… Increasing commentary on the importance of ESG disclosure Federal Corporate Transparency Act… Federal Corporate Transparency Act requires companies to disclose beneficial owner Paycheck Protection Program loan… Paycheck Protection Program loan necessity questionnaire
Life Sciences Securities Litigation Latest 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
Investigations and Enforcement Blog Latest Court Orders Attorney Notes Protected in… Court Orders Attorney Notes Protected in Former Citi Trader’s Lawsuit Against Former Employer AAG Kanter Outlines Significant Changes… AAG Kanter Outlines Significant Changes to Antitrust Division’s Leniency Program A New ‘Economic Crime Bill’ in the… A New ‘Economic Crime Bill’ in the United Kingdom to Strengthen Existing Economic Crime Laws
IM Insights Latest 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
Oil and Gas Fraud Lawyer Blog Latest Cryptocurrency—Good Investment or a… Cryptocurrency—Good Investment or a Fish Tale that Stinks? Real Estate—Investment Diversification… Real Estate—Investment Diversification or Ponzi Scheme? $7 Million Texas Oil & Gas Ponzi… $7 Million Texas Oil & Gas Ponzi Scheme-Emilio (Mike) Barrera
Insurance Innovation Watch Latest On Demand Insurance is Here But Will it… On Demand Insurance is Here But Will it Stay? Regulatory Impact of Artificial… Regulatory Impact of Artificial Intelligence Use in Insurance Blockchain in the Insurance Industry… Blockchain in the Insurance Industry Series: Part 2
FCPA Professor Latest Time Spent On The DOJ’s FCPA Website Time Spent On The DOJ’s FCPA Website The Percentage Of Corporate DOJ And SEC… The Percentage Of Corporate DOJ And SEC FCPA Enforcement Actions That Result From A Voluntary Disclosure “In-Group Favoritism”? “In-Group Favoritism”?