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In its latest enforcement sweep with the help of data analytics, the SEC settled charges with 23 stockholders and two public companies for reporting failures under Sections 13 and 16 of t...
The Federal Trade Commission launched Operation AI Comply, announcing enforcement actions against five companies for alleged deception regarding artificial intelligence. The FTC’s acti...
The FDIC proposal is the latest measure by the federal banking agencies to address perceived risks arising from bank-fintech arrangements – in this case, those involving “custodial ac...
In this issue we discuss, among other things, recent enforcement actions involving investment advisers and alleged violations of the Marketing Rule under the Advisers Act.
The SEC’s form and rule amendments require 1940 Act funds to enhance their periodic portfolio reporting. The SEC also provided guidance regarding liquidity risk management programs, add...
The SEC finalized a package of amendments to Regulation National Market System (Reg NMS) to reduce minimum pricing increments (or “ticks”) for certain stocks to half-penny increments,...
DOJ made changes to its Evaluation of Corporate Compliance Programs, the first since March 2023. The changes focus on the management of technology risk, including the use of artificial i...
On September 12, 2024, the U.S. Treasury Department and the Internal Revenue Service released proposed regulations addressing the application of the corporate alternative minimum tax that...
The DOJ, FDIC and OCC have revised their bank merger review standards. The new standards are a major shift for bank M&A and will require a careful, detailed analysis to evaluate the viabi...
FinCEN finalized a rule that targets illicit finance in the real estate sector and imposes new reporting requirements with respect to certain non-financed residential real estate transact...