Episode 415: DOJ’s Massive $550 Million Tariff Evasion Settlement
Betting the Game: Entourages, Interpreters, and the People Around the Star
Creativity and Compliance: Compliance 6-Pack: Part 4 – Using “Yes, And”
Great Women in Compliance: Compliance Week 2026 Highlights with Nick Gallo
2 Gurus Talk Compliance – Episode 76 – The CW Wrap Up Edition
AI in Healthcare: Five Healthcare AI Stories You Need to Know This Week - May 15, 2026
AI Today in 5: May 15, 2026, The Blind Spot Edition
AI in Financial Services in 5 Stories - Week Ending May 15, 2026
Daily Compliance News: May 15, 2026, The Adani Walks Free Edition
AI Today in 5: May 14, 2026, The King Charles Edition
GSK In China: 13 Years Later - Episode 9: Anti-Corruption Enforcement and the Compliance Imperative
Daily Compliance News: May 14, 2026, The Jho Low Wants a Pardon Edition
AI Today in 5: May 13, 2026, The AI and Getting Fired Edition
Compliance into the Weeds: The DOJ Trainwreck and the Rising Risk Calculus for Compliance and Self-Disclosure
Daily Compliance News: May 13, 2026, The Hair Raising Edition
The PFBCon Podcast: AI Audio Enhancement Without the Robotic Mess: Keep Your Podcast Warm, Clear, and Human with Audra Casino
AI Today in 5: May 12, 2026, The RegTech as Infrastructure Edition
Innovation in Compliance: Data Defensibility: The Compliance Foundation for AI Governance with George Tziahanas
Daily Compliance News: May 12, 2026, The TACO Don Goes to China Edition
AI Today in 5: May 11, 2026, The AI Notetakers Edition
On May 19, 2026, the SEC proposed sweeping reforms to the process by which US public companies raise capital in SEC-registered offerings, and to the requirements for public company reporting under the Exchange Act....more
The law limits state and local government support for net zero policies in Florida and may increase scrutiny of climate-related fund commitments involving public money....more
On May 18, 2026, the SEC rescinded its rule adopted in 1972 prohibiting defendants and respondents from denying allegations in enforcement action settlements, also known as the “gag rule” or “no admit, no deny rule.” In...more
The SEC proposed two sets of rule and form amendments on May 19 that, if adopted, would implement significant changes to the registered offering and public company reporting frameworks. ...more
"Smaller entities" subject to Regulation S-P (Reg S-P) have just three weeks remaining—by June 3, 2026—to comply with new cybersecurity and data breach-related requirements introduced by amendments to the regulation in 2024....more
For more than fifty years, a necessary feature of U.S. Securities and Exchange Commission (SEC or the Commission) enforcement settlements was a simple but controversial condition: defendants could virtually always settle...more
On May 19, 2026, the SEC proposed two rulemakings described by Chairman Paul S. Atkins as “the foundation for my agenda to Make IPOs Great Again.” The two proposals — the Registered Offering Reform Proposal (Release Nos....more
The updates include the Stock Exchange’s consultation paper on listing framework competitiveness review and HKEX’s consultation on accelerated settlement....more
On 18 May 2026, the United States Securities and Exchange Commission (SEC) rescinded the rule barring settling defendants from publicly denying the agency’s allegations. The policy, in place since 1972, effectively silenced...more
On May 19, 2026, the U.S. Securities and Exchange Commission (SEC) issued a proposal (the “Proposal”) that would significantly simplify the framework used to categorize public company “filer status” for purposes of periodic...more
On April 13, Senate Finance Committee Ranking Member Ron Wyden (D-Or.) introduced the Protecting Proper Life Insurance from Abuse Act (S. 4279).1 The bill is substantively identical to a discussion draft circulated in...more
Given the continued and growing interest in special purpose vehicles (“SPVs”) as a means of accessing private market investments, we are publishing a series of posts that examine different aspects of these structures. This...more
INTRODUCTION: Large family offices and institutional investors are increasingly utilizing NAV loans on their alternatives holdings as a portfolio management tool. As allocations to alternatives have scaled, so, too, has...more
On May 19, 2026, the Securities and Exchange Commission issued two companion proposed rulemakings that, if adopted, would represent the most significant overhaul of the Securities Act registration framework and Exchange Act...more
Yesterday, the Securities and Exchange Commission (“SEC”) proposed two sets of rule amendments aimed at overhauling how public companies access the capital markets and meet their ongoing reporting obligations. The first...more
Picking up from Part 1: if you are investing into a company with an existing priced round, the standard Y Combinator (“YC”) SAFE leaves real money — and real rights — on the table. Here are five provisions where pushing back...more
As noted in our earlier post, the Securities and Exchange Commission (“SEC”) released two rulemaking proposals aimed at overhauling how public companies access the capital markets and address their ongoing reporting...more
Here is a quiet truth that gets lost in every “just sign the standard SAFE” conversation: the Y Combinator (“YC”) SAFE was purpose-built for pre-seed, pre-priced-round companies — clean common-stock cap tables, no preferred...more
The SEC’s climate disclosure rules (adopted in 2024 but mired in legal challenges and uncertainty ever since) now appear headed for formal repeal. According to a recent filing with the U.S. Office of Management and Budget and...more
The SEC today proposed amendments that would represent a sweeping overhaul of the registered offering framework if adopted. The proposed amendments would significantly expand access to Form S-3 and shelf registration,...more
The federal-state confrontation over Commodity Futures Trading Commission (CFTC or Commission)-registered prediction markets escalated on multiple fronts in the first half of May. On May 12, the CFTC filed an amicus brief in...more
On April 20, 2026, the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) (collectively, the “Commissions”) jointly proposed amendments to Form PF that would substantially reduce...more
Parties do not usually surrender after they win. On May 18, 2026, the Securities and Exchange Commission did. For fifty-four years, the SEC conditioned nearly every enforcement settlement on one promise: the defendant...more
Publicly traded companies should note two significant rulemaking packages issued by the U.S. Securities and Enforcement Commission with particular interest to small and mid-sized companies. Both were proposed on May 19, 2026,...more
On May 5, the Securities and Exchange Commission proposed rule and form amendments(Proposed Amendments) that would significantly change reporting requirements under federal securities laws, allowing domestic public companies...more
