Crafting a comprehensive regulatory framework for crypto will take time. But there are a few steps that the new SEC chair can immediately take to get the ball rolling.
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...
To help navigate what has been an active year of new SEC disclosure mandates, we have prepared an overview of key considerations for preparing your 2023 annual report on Form 10-K.
With a potential government shutdown only a few days away, we provide a number of SEC shutdown practice pointers for public companies and capital markets transactions.
The Federal Reserve, FDIC and OCC released final joint guidance on banking organizations’ management of risks associated with third-party relationships. The guidance applies to all thir...
In Slack Technologies, LLC v. Pirani, the Supreme Court confirmed that under Section 11 of the Securities Act of 1933 plaintiffs must “trace” their shares – that is, plead and prove...
While the new rules will not require stock buyback disclosure within one business day as was proposed, they mandate significant new disclosure relating to stock buybacks with no accommoda...
After consultation with market participants late last year, S&P Dow Jones makes companies with multiple class shares eligible for index inclusion again.
Activision Blizzard agreed to pay $35 million to settle SEC charges that it violated disclosure controls and whistleblower protection rules. The settled enforcement action highlights the ...
