Last week, the U.S. Securities and Exchange Commission (SEC) made a significant procedural shift: companies under investigation can now present settlement offers and waiver requests together for simultaneous consideration....more
9/30/2025
/ Disqualification ,
Enforcement Actions ,
Investment ,
Policies and Procedures ,
Regulatory Oversight ,
Regulatory Reform ,
Regulatory Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Securities Violations ,
Settlement Agreements ,
Settlement Offer ,
Waivers
The SEC has cleared the path for mandatory arbitration provisions in public company governance documents, ending decades of regulatory uncertainty that had deterred companies from including such clauses in their IPO filings....more
9/18/2025
/ Arbitration ,
Arbitration Agreements ,
Contract Terms ,
Corporate Governance ,
Disclosure Requirements ,
Dispute Resolution ,
Initial Public Offering (IPO) ,
Mandatory Arbitration Clauses ,
Publicly-Traded Companies ,
Regulatory Agenda ,
Regulatory Reform ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
The SEC just fired a warning shot across international waters. On September 5th, the agency announced the launch of a new Cross-Border Task Force aimed squarely at rooting out fraud by foreign companies—and the professionals...more
9/8/2025
/ Anti-Fraud Provisions ,
Auditors ,
Capital Markets ,
China ,
Corporate Counsel ,
Cross-Border Transactions ,
Enforcement Actions ,
Financial Markets ,
Foreign Private Issuers ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Securities Regulation