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Cadwalader, Wickersham & Taft LLP

Second Circuit Affirms Dismissal of Securities Claims Arising from Reverse Split of Exchange-Traded Notes

The United States Court of Appeals for the Second Circuit recently issued a per curiam opinion in Knapp v. Barclays PLC, affirming the dismissal of a putative securities class action arising from a reverse split of...more

Alston & Bird

SEC Announces 2026 Inflation Adjustment to Qualified Client Thresholds

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The Securities and Exchange Commission has proposed increasing the “qualified client” thresholds under Rule 205-3, raising the assets-under-management (AUM) and net worth tests. Our Investment Funds Group outlines the likely...more

Thomas Fox - Compliance Evangelist

AI in Healthcare: Five Healthcare AI Stories You Need to Know This Week - April 10, 2026

Welcome to AI in Healthcare in 5 Stories. This podcast is a Weekly Briefing of the five most important AI developments shaping healthcare, medicine, and life sciences. Each week, Tom Fox breaks down the latest stories on...more

Jenner & Block

Announcement of Enforcement Results and Appointment of New Enforcement Director Provide Roadmap for What’s Next for the SEC

Jenner & Block on

This week, the SEC took two steps that could define what’s next for its enforcement program: it named David Woodcock — a former Regional Director at the SEC and a current Gibson Dunn partner — as the new Director of the...more

Morrison & Foerster LLP

MoFo's Financial Markets & Innovation - April 10, 2026

Please see below for this week’s Financial Markets & Innovation Weekly Update from Morrison Foerster, tracking how emerging technologies are reshaping financial markets and how U.S. and global regulators are responding....more

K&L Gates LLP

United States: New Sheriff, New Stats: Reading Between the Lines of the SEC’s Enforcement Report

K&L Gates LLP on

On 7 April 2026, the SEC announced its fiscal year 2025 enforcement results, speaking not only to key actions from the past year but also to its vision for enforcement going forward. The results were the first from the...more

McGuireWoods LLP

Fiduciary Duties in Selecting Designated Investment Alternatives — A Presentation Resource

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On March 30, 2026, the Employee Benefits Security Administration of the Department of Labor released a proposed rule that would provide a safe harbor for fiduciaries of qualified defined contribution retirement plans to...more

Husch Blackwell LLP

DEXIT: Is Delaware Losing Its Corporate Crown—and Is Texas or Nevada Next in Line?

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For decades, the answer to “where should we incorporate?” was almost reflexive: Delaware. The state’s Court of Chancery, expert corporate bench and bar, and business-friendly tax benefits made it the undisputed capital of...more

Morrison & Foerster LLP

CFTC Enforcement Director Miller Announces Enforcement Priorities, Including a Focus on Insider Trading in Prediction Markets

David Miller, the newly appointed director of the CFTC’s Division of Enforcement, recently outlined the agency’s enforcement priorities, including in the $400 trillion swaps markets, which encompasses prediction markets....more

Troutman Pepper Locke

SEC FY 2025 Enforcement Results Reveal Changing Priorities From Record Numbers to Investor Protection

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The Securities and Exchange Commission’s (SEC) April 7, 2026, press release on its fiscal year (FY) 2025 enforcement results is less about numbers and more about a philosophical reset. Under Chairman Paul Atkins and...more

Stark & Stark

You Filed Your ADV Annual Amendment - What's Next?

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The March 31 deadline for the annual Form ADV updating amendment has finally passed for advisers with a December 31 fiscal year end. Filing the amendment is only step one. April is the month to turn attention to what comes...more

Thomas Fox - Compliance Evangelist

2 Gurus Talk Compliance - Episode 74 - The GES Edition

What happens when two top compliance commentators get together? They talk compliance, of course. Join Tom Fox and Kristy Grant-Hart in 2 Gurus Talk Compliance as they discuss the latest compliance issues in this week’s...more

Ropes & Gray LLP

Secondaries on the Rise: Q1 2026 Trends in Institutional Sell-Side Activity and Evolving Deal Terms

Ropes & Gray LLP on

Following on our recent observations about what institutional investors should know about the Middle East conflict for institutional investors, and the open question of whether declines in public markets would trigger...more

Fried Frank

Q1 2026 - European Regulatory Update for Funds

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The first quarter of 2026 saw a steady flow of UK and EU regulatory initiatives and updates, which are relevant to European private fund managers as well as non-European managers marketing or operating in Europe....more

Baker Botts L.L.P.

2026 Houston Board of Directors Forum: Key Takeaways

Baker Botts L.L.P. on

The Baker Botts Houston Board of Directors Forum, in partnership with the National Association of Corporate Directors, brought together subject matter experts on significant and trending topics at the Post Oak Hotel on April...more

Fenwick & West LLP

Six Companies Sued for Excluding Shareholder Proposals from 2026 Proxy Materials

Fenwick & West LLP on

So far, five lawsuits have been filed by shareholder proponents challenging company decisions to exclude shareholder proposals from their 2026 proxy materials based on the ordinary business exception...more

Skadden, Arps, Slate, Meagher & Flom LLP

Tokenized Securities: Untangling Legal and Regulatory Knots

On March 19, 2026, Skadden hosted “Tokenized Securities: Untangling Legal and Regulatory Knots,” a webinar featuring partners Michelle Gasaway, Kevin Hardy and Daniel Michael, as well as counsel Aaron Washington, who...more

Pullman & Comley, LLC

Analysis of Selected 2025 Changes in Connecticut Law Governing Business Entities

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In the 2025 Connecticut legislative session, the General Assembly did not enact a 2025 public act that directly amended the core entity statutes in Connecticut General Statutes Titles 33 and 34, which govern corporations,...more

Lowenstein Sandler LLP

Crypto Brief - Lowenstein Crypto Newsletter - April 9, 2026

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On April 7, the Securities and Exchange Commission (SEC) released its enforcement results for the fiscal year ending September 30, 2025, characterizing the period as one of significant “course correction.” The SEC filed 456...more

Hogan Lovells

ESMA Final Report on updated EMIR clearing thresholds regime: what is the impact on derivative end users?

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The European Securities and Markets Authority (ESMA) has published its Final Report on revised clearing thresholds under the European Market Infrastructure Regulation (EMIR), following the changes brought in by EMIR 3. This...more

Katten Muchin Rosenman LLP

Private Credit Developments: Regulatory Signals and Emerging Litigation Trends

The "retailization" of private credit markets has received significant media attention. As access to private markets becomes more democratized, there has been a corresponding increase in scrutiny, with recent litigation and...more

Thomas Fox - Compliance Evangelist

AI Today in 5: April 10, 2026, The Missing Signals Edition

Welcome to AI Today in 5, the newest addition to the Compliance Podcast Network. Each day, Tom Fox will bring you 5 stories about AI to start your day. Sit back, enjoy a cup of morning coffee, and listen in to the AI Today In...more

Morgan Lewis

Securities Enforcement Roundup – March 2026

Morgan Lewis on

In this issue of our monthly Securities Enforcement Roundup, we highlight top securities enforcement developments from March 2026. In March 2026: On March 16, 2026, Judge Margaret Ryan resigned from her position as director...more

Thomas Fox - Compliance Evangelist

AI in Financial Services in 5 Stories - Week Ending April 10, 2026

Welcome to AI in Financial Services in 5 Stories. A practical weekly roundup of the five most important AI developments affecting banking, insurance, payments, asset management, and fintech. Each Friday, Tom Fox will break...more

Proskauer Rose LLP

Deep Dive Hybrid Capital Series: An introduction to Hybrid Capital Solutions – what they are, their use case and key protections

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Against the backdrop of an unstable interest rate environment, with valuation challenges and subdued M&A / IPO activity, hybrid capital solutions have gained popularity. These flexible financing structures are continuing to...more

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