On February 24, 2026, the US Securities and Exchange Commission (SEC) announced major updates to its Enforcement Manual (Manual), a guidance document the SEC staff uses when conducting investigations of potential securities...more
3/2/2026
/ Compliance Monitoring ,
Enforcement Actions ,
Enforcement Guidance ,
Enforcement Priorities ,
Investigations ,
Investors ,
New Guidance ,
Regulatory Oversight ,
Regulatory Reform ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Settlement Agreements ,
Settlement Negotiations ,
Transparency ,
Waivers ,
Wells Notice
On February 24, 2026, the US Attorney’s Office for the Southern District of New York (SDNY) announced its revised Voluntary Self-Disclosure and Cooperation Program for Financial Crimes....more
3/2/2026
/ Compliance ,
Cooperation ,
Corporate Governance ,
Corporate Misconduct ,
Criminal Prosecution ,
Department of Justice (DOJ) ,
Disclosure Requirements ,
Enforcement Actions ,
Financial Crimes ,
New Guidance ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Self-Disclosure Requirements ,
White Collar Crimes
On Jan. 16, the U.S. Securities and Exchange Commission announced settled charges against two former executives of Spero Therapeutics LLC, a public biopharmaceutical company, for misleading investors about the regulatory...more
2/27/2026
/ C-Suite Executives ,
Confidential Information ,
Corporate Executives ,
Corporate Governance ,
Corporate Liability ,
Corporate Misconduct ,
Disclosure Requirements ,
Enforcement Actions ,
Investors ,
Misleading Statements ,
Pharmaceutical Industry ,
Publicly-Traded Companies ,
Regulatory Oversight ,
Regulatory Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Securities Regulation
2026 is off to a rousing start for the US Securities and Exchange Commission (SEC), with two notable developments related to the agency’s civil enforcement authority....more
1/30/2026
/ Administrative Procedure Act ,
Administrative Proceedings ,
Appeals ,
Appellate Courts ,
Article III ,
Constitutional Challenges ,
Disgorgement ,
Due Process ,
Enforcement Actions ,
SCOTUS ,
SEC v Jarkesy ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934 ,
Securities Fraud ,
Securities Litigation ,
Securities Regulation ,
Statutory Interpretation
As companies gear up for 2026, what happens at the SEC could smooth the path for public capital raising efforts. However, with “lessons learned” from the government-wide shutdown still fresh in our memories – and becoming...more
1/8/2026
/ Capital Markets ,
Capital Raising ,
Disclosure Requirements ,
Enforcement Actions ,
Filing Requirements ,
Foreign Private Issuers ,
Form S-1 ,
Initial Public Offering (IPO) ,
Listing Rules ,
Proposed Rules ,
Proxy Season ,
Proxy Statements ,
Public Offerings ,
Registration Requirement ,
Regulatory Agenda ,
Rule 14a-8 ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Shareholder Proposals
When Paul Atkins became the new chairman of the Securities and Exchange Commission (SEC) in April 2025, the market expected enforcement actions against public companies to decrease....more
12/26/2025
/ Biotechnology ,
Corporate Misconduct ,
Cryptocurrency ,
Cybersecurity ,
Enforcement Actions ,
Foreign Issuers ,
Foreign Private Issuers ,
Individual Accountability ,
Insider Trading ,
Investor Protection ,
Market Manipulation ,
Penalties ,
Publicly-Traded Companies ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Fraud ,
Securities Regulation ,
Special Purpose Acquisition Companies (SPACs)
The US Securities and Exchange Commission (SEC) recently changed its longstanding position disfavoring the inclusion of certain mandatory arbitration provisions in corporate certificates of incorporation or bylaws. As Chair...more
According to NERA, a leading consulting and expert firm, the share of foreign-based companies listed on U.S. stock exchanges has risen steadily in the last decade, from 17.4% in 2016 to 26.9% in 2025. As noted in our...more
10/29/2025
/ Cross-Border Transactions ,
Disclosure Requirements ,
Enforcement Actions ,
Foreign Corporations ,
Foreign Private Issuers ,
Market Manipulation ,
Nasdaq ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934 ,
Securities Regulation