News & Analysis as of

American Bar Association (ABA) Securities and Exchange Commission (SEC)

Goulston & Storrs PC

What's Market: 10b-5 Representations

Goulston & Storrs PC on

In M&A transactions, the definitive purchase agreement—e.g., asset purchase agreement, stock purchase agreement, or merger agreement—typically contains representations and warranties that the seller makes with respect to the...more

Katten Muchin Rosenman LLP

Financial Markets and Funds Quick Take | Issue 29

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more

Ankura

Spring Cleaning in the AI Space: Five Key Takeaways from SEC’s Crackdown on “AI Washing”

Ankura on

The proliferation of AI-powered offerings in the marketplace and discussions about AI's effect on jobs has become impossible to ignore. According to Goldman Sachs, 36% of S&P 500 companies mentioned AI on their earnings call...more

Mintz - Health Care Viewpoints

DOJ Announces it is Designing a Whistleblower Rewards Program

In early March 2024 at the American Bar Association’s 39th National Institute on White Collar Crime, Deputy Attorney General (DAG) Lisa Monaco’s keynote remarks previewed the development of new and significant Department of...more

White & Case LLP

DOJ Doubles Down on Warnings Against AI Misuse

White & Case LLP on

In February 2024, we published an alert concerning the increase in regulatory attention to "AI washing," or making unfounded claims regarding artificial intelligence ("AI") capabilities. Notably, on February 14, 2024,...more

Seward & Kissel LLP

DOJ Announces Launch of New “Gap-Filling” Whistleblower Program

Seward & Kissel LLP on

On March 7, 2024, Deputy Attorney General Lisa Monaco delivered the keynote remarks at the American Bar Association’s 39th National Institute on White Collar Crime. In her address, she announced a new, nationwide...more

White & Case LLP

DOJ Announces Pilot Program to Pay Monetary Rewards to Whistleblowers

White & Case LLP on

During the American Bar Association's 39th National Institute on White Collar Crime, Deputy Attorney General (DAG) Lisa Monaco announced the launch of the U.S. Department of Justice's (DOJ or the Department) pilot program to...more

Hogan Lovells

Key insights from the 2024 ABA White Collar Conference

Hogan Lovells on

The 2024 American Bar Association White Collar Crime conference delivered crucial insights from artificial intelligence’s tantalizing promise to its looming threats, a focus on individual accountability, repercussions for...more

WilmerHale

Recent PCAOB Developments for Audit Committee and Companies

WilmerHale on

The Public Company Accounting Oversight Board (PCAOB) has had one of its busiest years in recent memory, including with respect to standard setting, inspections and enforcement. Below is a summary of notable developments that...more

BCLP

Issues and Considerations Involving the Recovery of Executive Officer Compensation

BCLP on

At the recent meeting of the Employee Benefits and Executive Compensation Subcommittee at the ABA’s Business Law Fall meeting, moderators identified several hot topics stemming from the new compensation recovery (clawback)...more

Array

Quick communication and long-term legal risk

Array on

In a recent report from Thomson Reuters, legal department leaders named regulatory compliance a top strategic priority. The emphasis on compliance has increased significantly since 2019, when it was rated the fifth-most...more

Dechert LLP

Happy Holidays: SEC Provides Temporary Rule 15c2-11 Reprieve

Dechert LLP on

In 2021, the staff (the “Staff”) of the Securities and Exchange Commission (the “SEC”) surprised the industry when it issued an interpretation stating that fixed income securities (including asset-backed securities) fall...more

Bass, Berry & Sims PLC

Reverberations Felt from SEC’s SPAC Proposal Even Before Rules Are Adopted

In March 2022, the Securities and Exchange Commission (SEC) proposed sweeping new rules to regulate the disclosures and liabilities associated special purpose acquisition companies (SPACs). The proposing release is available...more

ArentFox Schiff

Federal Regulation of Securities Committee of the Business Law Section of the American Bar Association Takes Aim at SEC Proposed...

ArentFox Schiff on

On March 30, 2022, the US Securities and Exchange Commission (the "SEC" or “Commission”), in a three-to-one vote of its commissioners divided along political lines, approved the issuance of proposed rules (“Proposed Rules”)...more

Vinson & Elkins LLP

Echoes from the ABA White Collar Crime Conference 2022 in San Francisco

Vinson & Elkins LLP on

Foreign Corrupt Practices Act Enforcement Leaders at the DOJ and SEC Signal Increased Enforcement, an Upswing in Coordinated Investigations and Resolutions, and a Focus on Individual Actors to Dismantle Corporate Wrongdoing...more

Foley & Lardner LLP

SEC Amends Rule 14a-8 to Modernize Shareholder Proposal Requirements

Foley & Lardner LLP on

On September 23, 2020, the Securities and Exchange Commission (“SEC”) announced that it had adopted amendments to Rule 14a-8 under the Securities Exchange Act of 1934 (the “Amendments”). Rule 14a-8 governs the eligibility, on...more

Foley & Lardner LLP

Finally 190! Years in the Making: CFTC Proposes New Bankruptcy Rules for FCMs and DCOs

Foley & Lardner LLP on

On April 14, by unanimous vote of the Commissioners, the Commodity Futures Trading Commission (“CFTC” or “Commission”) approved a notice of proposed rulemaking to update comprehensively its Part 190 Rules governing a...more

Bass, Berry & Sims PLC

ABA Securities Committee Comments on SEC’s Concept Release on Private Offerings Harmonization

Bass, Berry & Sims PLC on

In June of this year, the SEC issued a concept release that reviews the framework for exempt offerings, including several exemptions from registration under the Securities Act of 1933 that facilitate capital raising. The...more

Perkins Coie

Blockchain Week in Review - March 2019 #4

Perkins Coie on

U.S. Developments - Regulatory Updates - SEC’s Valerie Szczepanik Speaks at SXSW - The U.S. Securities and Exchange Commission’s (“SEC”) Associate Director of the Division of Corporation Finance and Senior Advisor for...more

Holland & Knight LLP

Trump Administration Takes Initial Steps to Implement Repeal of Energy, Environmental Regulations

Holland & Knight LLP on

Earlier this year, Freedom Partners, a conservative advocacy group, released A Roadmap to Repeal containing a list of former President Barack Obama's regulations that the group argued should be repealed quickly after the...more

Proskauer - Whistleblower Defense

Proskauer To Present On Whistleblower Developments At ABA Midwinter Meeting

On February 24, 2017 at 10:30 am, Proskauer Partner Connie Bertram will speak on “Whistleblower Provisions of Sarbanes Oxley” at the American Bar Association Section of Labor and Employment Law’s Federal Labor Standards...more

Morrison & Foerster LLP - JOBS Act

Brief Updates on Capital Formation and Related Matters

At today’s meeting of the American Bar Association’s Federal Regulation of Securities Committee meeting in Washington, DC, various representatives from the Securities and Exchange Commission provided some comments and...more

Burr & Forman

TN Ethics Opinion Approves Lawyers’ Cloud Storage of Client Data

Burr & Forman on

Tennessee has joined other states in formally approving lawyers’ cloud-storage of client-confidential data. The Board of Professional Responsibility (“BOPR”) held that lawyers ethically may use cloud storage for...more

Burr & Forman

US Chamber Recommends SEC Enforcement Changes

Burr & Forman on

Last week the US Chamber of Commerce, through its Center for Capital Markets Competitiveness, issued a white paper proposing wide-ranging changes to the SEC’s enforcement process. Most of the 28 recommendations were...more

Morrison & Foerster LLP

Annual Review of Federal Securities Regulation - The Business Lawyer, Vol. 70, Iss. 3

This Annual Review (“Review”) was prepared by the Subcommittee on Annual Review of the Committee on Federal Regulation of Securities of the ABA Business Law Section. The Review covers significant developments in federal...more

27 Results
 / 
View per page
Page: of 2

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide