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Between June and August 2025, the SEC filed 52 actions against a combined total of 85 defendants and respondents. (These figures exclude follow-on actions, bars and suspensions.) The CFTC...
In this issue, we discuss, among other things, the further extension of the compliance date for Form PF amendments, and a recent enforcement action involving alleged violations of the mar...
With little time left to avoid a potential government shutdown, we provide key SEC shutdown practice points for public companies and capital markets transactions.
President Trump’s August 7, 2025 retirement plan Executive Order underscores the administration’s objective to make alternative assets available to defined-contribution plan participa...
As previewed at its August workshop, on September 24, CARB issued a “preliminary list of reporting/covered entities” under SB 253 and SB 261. Given CARB’s statement that the list is...
Since our client update on September 15, we have heard from many companies and advisors with questions about ExxonMobil’s innovative Retail Voting Program, which has clearly generated e...
Thousands of U.S. public companies hold annual shareholder meetings with multiple proposals to vote on, but most shareholders, especially retail investors, do not vote because they lack t...
On 26 August 2025, the Financial Conduct Authority approved the London Stock Exchange as the first operator of a PISCES. PISCES is the world’s first regulated private stock market that ...
With initial compliance deadlines for California’s climate disclosure laws only months away, two recent developments of significance to stakeholders include: (1) a second public worksho...
In this issue, we discuss an ADI issued by the SEC’s Division of Investment Management regarding registered closed-end funds of private funds, as well as a recent enforcement action inv...