Great Women in Compliance: The New Architecture of Legal and Compliance with AI
AI Today in 5: February 18, 2026, The AI for Rural Healthcare Edition
Compliance into the Weeds: Truth Stranger the Fiction: Binance, Iran, Crypto and Compliance
Daily Compliance News: February 18, 2026, The Stupid Is as Stupid Does Edition
AI Today in 5: February 17, 2026, The Measurable Gains Edition
Innovation in Compliance: Navigating AI: Governance, Risk with Some Culture Thrown In with Matt Kunkel
Daily Compliance News: February 17, 2026, The All FT Edition
AI Today in 5: February 16, 2026, The Doom Loop Edition
FCPA Compliance Report: Navigating Compliance in 2026: Trends and Transformations
Daily Compliance News: February 16, 2026, The Never Forget Blankee(t) Edition
Sunday Book Review: February 15, 2026, The Top Books on Business Failures Edition
AI Today in 5: February 13, 2026, They Try to Hack Gemini Edition
2 Gurus Talk Compliance - Episode 70 - The Ethics Edition
Daily Compliance News: February 13, 2026, The Social Law and Corruption Edition
Latham in Focus: Understanding the America First Investment Policy
AI Today in 5: February 12, 2026, The AI to the Moon Edition
Daily Compliance News: February 12, 2026, The Social Media Addiction Edition
Great Women in Compliance: Why Decision Rubrics Matter in the Age of AI with Hemma Lomax and Shalini Rajoo
AI Today in 5: February 11, 2026, The Hits and Misses Edition
Daily Compliance News: February 11, 2026, The US Plummets on the TI-CPI Edition
On February 6, 2026, the Financial Industry Regulatory Authority, Inc. (“FINRA”) issued Regulatory Notice 26-03 (the “Notice”) consolidating guidance on the use of negative consent letters for bulk transfers or assignments of...more
Securities and Exchange Commission Chair Paul Atkins testified before the House Financial Services Committee and the Senate Committee on Banking, Housing, and Urban Affairs last week, presenting a comprehensive overview and...more
Developments in securities litigation move fast, and not all of them matter equally. Each month, Alto Litigation curates and summarizes the cases, rulings, and regulatory actions most likely to shape risk and strategy in the...more
INTRODUCTION - Over 2025, US financial regulators undertook a broad recalibration of their approach to market regulation, marked by a noticeable shift toward deregulatory initiatives, clarifying guidance, and a renewed...more
As part of the FINRA Forward initiative to modernize its rules, guidance, and processes for member firms, FINRA announced in Regulatory Notice 26-03 that member firms will no longer be expected (and effectively required) to...more
On December 3, 2025, the SEC issued an order extending, for an additional two years, exemptive relief from compliance with the short sale disclosure requirements of new Rule 13f-2 under the Securities Exchange Act of 1934,...more
In this episode of Great Women in Compliance, Dr. Hemma R. Lomax speaks with Sam Flynn, co-founder of Josef, about the transformation of legal and compliance functions through technology. They discuss the importance of...more
Following a series of Compliance and Disclosure Interpretations (“C&DIs”) recently issued on January 23, 2026, which we discussed here, on February 11, the staff of the Securities and Exchange Commission (“SEC”) Division of...more
Private assets and artificial intelligence (AI) are playing an increasingly prominent role across the financial system, including in capital markets and insurance....more
A new California law will require covered investment entities to register with the California Department of Financial Protection & Innovation (DFPI) by March 1, 2026, and provide demographic surveys to their portfolio...more
One of the key requirements of Section 1202 is that the business issuing qualified small business stock (QSBS) must be a domestic (US) C corporation....more
Corp Fin certainly has been busy updating its CDIs. Last week, Corp Fin issued two new Rule 13e-3 going-private CDIs (as well as a conforming revision to an existing CDI), two new tender offer CDIs and one updated Form S-4...more
Former judge Margaret Ryan became the Director of the Securities and Exchange Commission’s Division of Enforcement in September 2025. But it was not until last week, in February 2026, that she made her first public speech as...more
The Financial Industry Regulatory Authority, Inc. (“FINRA”) has proposed changes to FINRA Rule 2210 (Communications with the Public) that would permit FINRA member broker-dealers to include performance projections and...more
As discussed in an article published by attorneys in Vedder’s Tax group, the Inflation Reduction Act of 2022 imposed a 1 percent excise tax on certain repurchases of publicly traded corporate stock made after December 31,...more
On December 16, 2025, the SEC’s Division of Examinations issued its latest risk alert regarding Rule 206(4)-1 under the Investment Advisers Act of 1940, known as the Marketing Rule. Following the examination staff’s September...more
Shareholder activism in the life sciences sector has intensified in recent years, with activist funds and other event-driven investors increasingly targeting companies to influence management, governance, strategy, and...more
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
Recent public statements by Securities and Exchange Commission (SEC) Chairman Paul S. Atkins and Division of Corporation Finance Director James Moloney offer a useful preview of where the SEC is likely headed in 2026. While...more
The regulatory landscape for digital assets has long frustrated market participants, particularly financial services firms attempting to plan product development, compliance infrastructure, and capital deployment amid...more
To keep you informed of recent activities, below are several of the most significant federal events that have influenced the Consumer Financial Services industry over the past week. Federal Activities: On February 12,...more
The White House Crypto Policy Council convened a second meeting with representatives from the crypto industry and traditional finance to continue negotiations over the treatment of stablecoin yield in digital asset market...more
The FCA has issued a lengthy consultation paper setting out its proposed new regime for ESG ratings providers (FCA CP 25/34). From June 29, 2028, any firm wishing to provide ESG ratings in the UK will need FCA authorisation,...more
On December 11, 2025, President Trump issued an executive order with the stated purpose of increasing oversight and public confidence in the proxy advisor industry. The order cites as its focus proxy advisers’ alleged...more
2025 marked a period of profound transformation across the sports and gaming industries. From the explosive growth of prediction markets and robust integrity enforcement in sports betting to record-setting franchise...more
