Episode 335 -- The New DOJ Whistleblower Program
Navigating Emerging Privacy Issues in Financial Services — The Consumer Finance Podcast
Implications of the SEC Cybersecurity Disclosure Rule
Corruption, Crime and Compliance: SEC Suffers Dismissal of Claims in Solarwinds Securities Fraud Case
Episode 334 -- District Court Dismisses Bulk of SEC Claims Against Solarwinds
The Woody Report: The Solar Winds Dismissal
In That Case: Securities and Exchange Commission v. Jarkesy
Corruption, Crime and Compliance: Deep Dive into The SEC’s Settlement with R&R Donnelly on Cybersecurity Controls
Episode 332 -- Deep Dive into SEC’s Internal Controls and Cybersecurity Settlement with R&R Donnelly
The Justice Insiders Podcast: Jarkesy’s Implications for the Administrative State
DE Under 3: OFCCP Must Shut Down its Administrative Court Prosecutions as a Result of SCOTUS’ SEC Jury Trial Case Decision
Dogecoin’s Day in Court
Unpacking the Lummis-Gillibrand Payment Stablecoin Act: Implications for the Digital Asset Industry — The Crypto Exchange Podcast
Podcast: Is Cryptocurrency a Security (like an orange grove)?
Navigating the Regulatory Waters: The SEC's Wells Notice to Uniswap and its Impact on DeFi — The Crypto Exchange Podcast
Will Resiliency Carry the Digital Asset Sector Through 2024: Federal Legislative Developments and OFAC Consent Orders — The Crypto Exchange Podcast
Compliance into the Weeds: The WACKO Enforcement Action Involving BF Borgers
Meeting the Proposed SEC Climate Disclosure Requirements
Understanding the Whistleblower Pilot Program in the Southern District of New York
2 Gurus Talk Compliance: Episode 26 – The Compliance Week Wrap Up Edition
Editor’s note: This is an updated version of our January 12, 2023, client alert. This update covers new staff SEC guidance addressing the options companies have when existing confidential treatment orders approach expiration....more
On August 23, 2023, the US Securities and Exchange Commission ("SEC") voted 3 – 2 to approve the adoption of significant new rules applicable to advisers of private funds (the "Private Fund Adviser Rules"). With these...more
The SEC has extended the public comment period regarding its proposed “Enhancement and Standardization of Climate-Related Disclosures for Investors." The new deadline is June 17, 2022....more
Congress recently overrode President Trump’s veto of the $740 billion 2021 National Defense Authorization Act (“NDAA”) and signed it into law. While the focus of the NDAA is not on the U.S. Securities and Exchange Commission...more
In the News. The Securities and Exchange Commission (SEC) adopted final rules to update and expand the statistical disclosures that bank and savings and loan registrants must provide to investors for the first time in 30...more
The U.S. Securities and Exchange Commission (the “SEC”) has offered various guidance on filing extensions and further delivery relief as public companies, funds, and investment advisors continue to adjust to the sweeping...more
Several regulatory developments that affect the municipal markets took place in the first quarter of 2020, almost all of which were informed by the COVID-19 pandemic. In my Quarterly Regulatory Update, I have summarized the...more
On March 31 and April 6, the U.S. Securities and Exchange Commission (SEC) issued Compliance and Disclosure Interpretations (C&DIs) to provide additional clarity regarding the SEC’s COVID-19 Order issued on March 4 and...more
This post is following up on our previous post on February 27, 2019, “SEC Guidance on Coronavirus Disclosures,”. On March 4, 2020, the SEC issued an order which would provide publicly traded companies with an additional 45...more
To date, COVID-19 (“Coronavirus”) has infected more than 105,000 people and killed approximately 3,500 — with numbers increasing worldwide. Accompanying this tragedy is substantial economic loss, with major selloffs across...more
Rules requiring material agreements to be filed as exhibits to reports and registration statements with the Securities and Exchange Commission (SEC) were amended to permit the redaction of immaterial and commercially...more
The SEC has approved a Nasdaq rule change to permit Nasdaq to exercise discretion to grant an extension to regain compliance before delisting a company that fails to hold an annual meeting. In determining whether to grant a...more
Nasdaq has filed a rule proposal with the SEC to permit it to exercise discretion to grant an extension to regain compliance before delisting a company that fails to hold an annual meeting. In determining whether to grant a...more
The Securities and Exchange Commission recently extended the compliance date for the broker-dealer recordkeeping, reporting and monitoring requirements of the Large Trader Reporting Rule from May 1, 2013 to November 1,...more