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Paul Hastings LLP

State Stablecoin Legislation

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Stablecoins, which are digital assets pegged to fiat currency or other assets, play a crucial role in crypto markets, offering price stability and facilitating transactions. Despite their growing significance, there is no...more

McCarter & English, LLP

Delaware Court Holds Settlement of Underlying Securities Litigation Is Covered Under D&O Policy, Rejecting Insurers’ Assertion of...

A Delaware court recently found for the policyholders in determining that a directors and officers (D&O) liability policy covered the settlement of an underlying action alleging violations of the Securities Exchange Act of...more

Fenwick & West LLP

Securities Law Update - February 2025

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Welcome to the latest edition of Fenwick’s Securities Law Update. This issue contains updates and important reminders on...more

Goodwin

SEC Outlook: Potential Updates Under Nominated Chairman Atkins

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The SEC currently has several notable rule proposals that have received public comment but have not yet been finalized. The potential direction of these proposals is likely to be influenced by the leadership of the new SEC...more

Orrick, Herrington & Sutcliffe LLP

Cryptoasset exchange pleads guilty for unlicensed money transmitting

On January 27, DOJ announced a cryptocurrency exchange platform (the platform) pled guilty to operating as an unlicensed money transmitting business and failing to implement adequate AML and know-your-customer (KYC) programs....more

Thomas Fox - Compliance Evangelist

All Things Investigations: CFIUS - Balancing Security, Investment and Innovation with Sean Reilly

Welcome to the Hughes Hubbard Anti-Corruption & Internal Investigations Practice Group’s podcast, All Things Investigation. In this podcast, host Tom Fox is joined by Sean Reilly to explore the Nippon Steel/US Steel...more

Orrick, Herrington & Sutcliffe LLP

FINRA accepts Regulation BI-related AWC

On January 13, FINRA accepted a Letter of Acceptance, Waiver and Consent (AWC) from a financial services member firm to address allegations of supervisory failures related to recommendations of alternative investments. ...more

Morgan Lewis

US Administration, Congress, and SEC and CFTC Leadership Push for Unified Digital Asset Framework

Morgan Lewis on

February 2025 has already proven to be a busy month in the congressional and US Securities and Exchange Commission public discourse regarding the digital assets sector. Members of the SEC and US Congress made significant...more

Orrick, Herrington & Sutcliffe LLP

FINRA delays new amendments to its TRACE reporting rules

On February 5, FINRA announced while amendments to the TRACE reporting rules were approved in September 2024, an effective date for these amendments has not been established. These amendments, known as the “one-minute”...more

A&O Shearman

UK Financial Policy Committee response to HM Treasury November 2024 letter on remit and recommendations

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HM Treasury has published a letter (dated 18 December 2024) from Andrew Bailey, Bank of England Governor, in his role as Chair of the Financial Policy Committee. In the letter, Mr Bailey sets out the response of the FPC to...more

A&O Shearman

Silicon Valley Bank UK Limited Compensation Scheme Order 2025 published

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The Silicon Valley Bank UK Limited Compensation Scheme Order 2025 (SI 2025/83) has been published, together with an explanatory memorandum. The order confirms in law that no compensation is due to the persons who held shares...more

Eversheds Sutherland (US) LLP

Proposed regulations explain the expansion of “covered employees” under Code Section 162(m)

On January 14, 2025, the Department of the Treasury and the Internal Revenue Service issued proposed regulations (Proposed Regulations) relating to the expansion of the definition of “covered employees” under Internal Revenue...more

A&O Shearman

European Securities and Markets Authority publishes final report and draft Regulatory Technical Standards on colleges for central...

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The European Securities and Markets Authority has published its final report containing draft regulatory technical standards relating to colleges for central counterparties under the European Market Infrastructure Regulation...more

Skadden, Arps, Slate, Meagher & Flom LLP

White House Announces First Steps Toward New Policies Supporting Cryptocurrencies and Digital Financial Technology

President Trump has taken the first steps toward fulfilling his promise to reverse the Biden administration’s approach to digital assets by issuing an executive order that establishes a framework for fostering the growth of...more

Freiberger Haber LLP

Enforcement News: SEC Brings Enforcement Action Involving an Alleged $70 Million Pre-IPO Fraud Scheme

Freiberger Haber LLP on

Pre-IPO investing involves buying a stake in a company before the company makes its initial public offering of securities. Many stock promoters invite potential investors to invest in a pre-IPO offering by providing an...more

Proskauer - Regulatory & Compliance

SEC Extends Compliance Date for Short Sale Reporting Rule to 2026

On February 6, 2025, the SEC announced that it was providing a temporary exemption from compliance with Rule 13f-2 under the Securities Exchange Act of 1934 (the “Exchange Act”), which establishes a mandatory short reporting...more

Moritt Hock & Hamroff LLP

U.S. Securities And Exchange Commission Announces Formation Of New Crypto Task Force

Please be advised, on January 21, 2025, the Securities and Exchange Commission (“SEC”) under the Acting Chairman, Mark T. Uyeda, announced the formation of a new agencywide “Crypto Task Force” (“Task Force”), which will be...more

Carlton Fields

SEC Action Builds Pressure for ETFs in Variable Contracts

Carlton Fields on

On October 31, 2024, the SEC censured a major wirehouse for selling mutual funds to customers when lower-priced exchange-traded fund (ETF) “clones” of those funds were available. The SEC found that when recommending the...more

Davis Wright Tremaine LLP

New Administration Outlook: SEC Crypto Task Force Leader Outlines Regulatory "Journey"

On February 4, 2025, Commissioner Hester Peirce—head of the SEC's new Crypto Task Force—authored a Statement, posted on the SEC's website, titled "The Journey Begins." Her Statement analogizes from early childhood road trips...more

Thomas Fox - Compliance Evangelist

The Case-Book of Sherlock Holmes: Leadership Lessons from ‘The Adventure of the Retired Colourman’

In this new season of Adventures in Compliance, host Tom Fox delves into Arthur Conan Doyle’s Sherlock Holmes collection, The Case-Book of Sherlock Holmes. It is the final set of twelve Sherlock Holmes short stories, first...more

Mintz Edge

Key Considerations for the Prospective Blockchain Investor

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Prospective purchasers of blockchain assets can now navigate through global exchanges (i.e., Coinbase or Kraken) to invest in various forms of tokens. Investments in tokens, however, are only the tip of the iceberg for those...more

Seward & Kissel LLP

2025 HSR Filing Thresholds and Fee Schedule

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On January 10, 2025, the Federal Trade Commission (the “FTC”) announced that it will (i) increase the dollar-based thresholds used to determine whether parties are required to notify federal antitrust authorities about a...more

Thomas Fox - Compliance Evangelist

Compliance Tip of the Day: Building a Data-Driven Culture

Welcome to “Compliance Tip of the Day,” the podcast where we bring you daily insights and practical advice on navigating the ever-evolving landscape of compliance and regulatory requirements. Whether you’re a seasoned...more

Thomas Fox - Compliance Evangelist

FCPA Compliance Report: Workplace Culture and Compliance with Alejandra Almonte and Ann Sultan

Welcome to the award-winning FCPA Compliance Report, the longest-running podcast on compliance. In this episode, Tom welcomes Alejandra Almonte and Ann Sultan, both Members of Miller & Chevalier, and uses the EEOC’s release...more

Thomas Fox - Compliance Evangelist

Daily Compliance News: February 10, 2025 The For Immediate Compliance Edition

Welcome to the Daily Compliance News. Each day, Tom Fox, the Voice of Compliance, brings you compliance-related stories to start your day. Sit back, enjoy a cup of morning coffee, and listen in to the Daily Compliance...more

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