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Between October and December 2025, the SEC filed 29 actions against a combined total of 54 defendants and respondents, and the CFTC filed one case against three defendants. (These figures...
On 30 January 2026, the Securities and Futures Commission (SFC) issued a circular highlighting what it described as “highly concerning issues” identified in certain listing applicatio...
In this issue, we discuss a compliance risk alert and new FAQs both regarding the Advisers Act Marketing Rule, proposed amendments to the small entity definitions for purposes of the Regu...
Given the reported heightened risk of another government shutdown around the corner, we provide key SEC shutdown practice points for public companies and capital markets transactions.
The New York State Attorney General filed civil actions against a former executive for insider trading and against his company for approving the trading plan that the executive used. Thes...
The UK government has proposed major changes to the UK merger control decision-making procedures and jurisdictional tests as part of a broader initiative to encourage investment and promo...
The Fifth Circuit held that allocations to a partner in a limited partnership qualify for a statutory exception from self-employment tax if the partner has limited liability. Overturning ...
The Federal Trade Commission has announced 2026 Hart-Scott-Rodino Act reporting thresholds starting at $133.9 million and filing fee amounts up to $2.46 million for the largest deals. The...
The Treasury Department’s Financial Crimes Enforcement Network launched a series of high-profile measures targeting alleged government benefits fraud in Minnesota. Treasury suggested th...