Author Info for Moore & Van Allen PLLC

Tania Archer

FTC Noncompete Rule's Impact On Healthcare Nonprofits

The Federal Trade Commission recently approved a final rule prohibiting companies nationwide from enforcing new and existing noncompete agreements on anyone other than senior executives. Unless the effective date is stayed,… more

C-Suite Executives, Employer Liability Issues, Employment Contract, Federal Trade Commission (FTC), Final Rules

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Stuart Armstrong

The Desk: March

Enforcement Round-Up - New CFTC Director of Enforcement? According to early press reports, and confirmed by a recent announcement on March 2,CFTC Chairman Michael Selig has selected David I. Miller to join the agency as… more

Amicus Briefs, CFTC, Commodity Exchange Act (CEA), Derivatives, Designated Contract Markets (DCMs)

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Brendan Bailey

New Sustainability Standards Board to Develop Global Sustainability Disclosure Standards

The global standardization of ESG and, more broadly, sustainability related disclosure requirements may arrive sooner than anyone could have expected. A recent Financial Times article entitled “New Body to Oversee Global… more

Compliance, Disclosure, Environmental Social & Governance (ESG), Global Standards, Regulatory Oversight

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Will Baxley

SEC Announces Proposed Rule for Climate Risk and Greenhouse Gas Disclosures

On March 21, 2022, the U.S. Securities and Exchange Commission (“SEC”) announced a proposed rule (the “Proposed Rule”) that will require registrants to make certain climate disclosures in their registration statements and… more

Climate Change, Comment Period, Compliance, Disclosure Requirements, Filing Requirements

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Neil Bloomfield

Four Themes Emerging from the 2026 ABA Banking Law Committee Meeting

The 2026 ABA Banking Law Committee Meeting held in Washington, DC from January 15-17 delivered significant content in just over two full days of sessions. Conversations with state and federal regulators, agency general counsels,… more

Anti-Money Laundering, Banking Sector, BSA/AML, Enforcement Actions, FDIC

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Chassity Bobbitt

In Loper Bright and Relentless, Supreme Court returns to high-stakes question of viability of the Chevron doctrine

James P. McLoughlin Jr., Mary Katherine Stukes and Pierce Werner of Moore & Van Allen discuss the arguments, background and questions surrounding the Supreme Court's upcoming review of the Chevron doctrine. On May 1, 2023,… more

Chevron, Chevron Deference, Chevron v NRDC, Constitutional Challenges, Environmental Protection Agency (EPA)

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Carol Ewald Bowen

Delaware Amends Personal Information Protection Law

On August 17, 2017, Delaware amended its personal information protection law, Delaware Code Title 6, Chapter 12B. The amendment becomes effective 240 days after enactment or March 14, 2018. The amended law significantly… more

Amended Legislation, Credit Monitoring, Cybersecurity, Data Breach, Data Protection

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Bret Buckler

Update on California Consumer Privacy Act

Recently the state of California passed a data privacy and security law called the California Consumer Privacy Act (“CCPA”) (Assembly Bill 375). The law, which takes effect on January 1, 2020, is aimed at establishing a… more

California Consumer Privacy Act (CCPA), Consumer Information, Consumer Privacy Rights, Cybersecurity, Data Breach

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Elizabeth Buckner

An Incentives Wish List— What Companies Searching for Their Next Office Location Really Want from an Incentives Package

To be competitive in the site selection process, state and local governments know that they must provide enticing incentive packages that catch a company’s eye. After all, there are a lot of options out there when it comes to… more

Business Development, Business Expansion, Economic Development, Economic Growth, Incentives

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Scott Burton

New York Businesses Must Now Disclose Data Breaches of “Medical Information” Under New Law

On February 14, 2025, New York’s Governor Hochul signed into law A.B. 920, which amended the state’s Information Security Breach and Notification Act to add personal health information to the types of data that constitute… more

Data Breach, Data Privacy, Data Protection, Healthcare, Legislative Agendas

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William Butler

Fifth Circuit Upends Longstanding TCPA Written Consent Rule

Yesterday, the U.S. Court of Appeals for the Fifth Circuit held that telemarketing robocalls do not require written consent under the Telephone Consumer Protection Act of 1991 (“TCPA”). This landmark decision departs from… more

Appeals, Appellate Courts, Chevron Deference, Chevron v NRDC, FCC

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Sarah Dohoney Byrne

Meeting The Legal Aid Needs Of Human Trafficking Survivors

The recently released Legal Deserts Report 2.0, or LDR2, which we coauthored with the National Survivor Law Collective and the Avery Center, highlights the continued gaps in access to justice for victims of human… more

Criminal Prosecution, Criminal Records, Expungement, Forced Labor, Human Rights

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Jules Carter

2025 Year‑in‑Review and 2026 Look-Ahead: Financial Regulatory Developments, What Has Changed Since Publication, and What’s to Come

Key Financial Regulatory Developments - 2025 brought one of the most dynamic financial regulatory environments since the immediate aftermath of Dodd‑Frank, marked by shifting agency priorities, rapid litigation developments,… more

Anti-Money Laundering, Artificial Intelligence, Basel III, BSA/AML, Capital Requirements

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Emily Clayton

Changes on the Horizon for Recovery and Resolution Planning

The banking industry is on the cusp of more changes in recovery and resolution planning, shaped by shifting regulatory priorities and perspectives on the 2023 regional bank failures. Recent actions by the FDIC and OCC have… more

Banking Sector, Dodd-Frank, FDIC, Financial Institutions, OCC

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Kenneth Coe

Update – Corporate Transparency Act on Hold

We are writing to let you know that, as a result of a Texas court order, the filing requirements under the Corporate Transparency Act (“CTA”) have been postponed indefinitely. The CTA, effective as of January 1, 2024, is… more

Beneficial Owner, Business Entities, Constitutional Challenges, Corporate Transparency Act, FinCEN

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Dan Cordero

OCC Revises Recovery Planning Guidelines for Large Banks

On October 21, 2024, the Office of the Comptroller of the Currency (OCC) finalized revisions to its Guidelines Establishing Standards for Recovery Planning by Certain Large Insured National Banks, Insured Federal Savings… more

Bank Recovery and Resolution Directive (BRRD), Banking Sector, Banks, Covered Banking Entity, Enforcement Authority

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Gregory Dodge

SEC Settlement Reminds Firms to Periodically Review Their Use of Models, Calculators and Tools When Making Client Recommendations

On October 2, 2024, the Securities and Exchange Commission (“SEC”) announced it had settled enforcement proceedings against Thrivent Investment Management, Inc. (“Thrivent”), a SEC dually-registered broker-dealer and investment… more

Enforcement Actions, Securities and Exchange Commission (SEC), Securities Litigation, Securities Regulation, Securities Violations

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Kathryn Duffy

Update – Corporate Transparency Act on Hold

We are writing to let you know that, as a result of a Texas court order, the filing requirements under the Corporate Transparency Act (“CTA”) have been postponed indefinitely. The CTA, effective as of January 1, 2024, is… more

Beneficial Owner, Business Entities, Constitutional Challenges, Corporate Transparency Act, FinCEN

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Noah Edmondson

2025 Has Been a Strong Year for IPOs. The 2026 Outlook is Even Stronger.

Moore & Van Allen (MVA) Head of International Capital Markets John I. Sanders and Corporate Associate Noah Edmondson co-authored the article, “2025 Has Been a Strong Year for IPOs. The 2026 Outlook is Even Stronger.”… more

Capital Markets, Federal Reserve, Financial Markets, Initial Public Offering (IPO), Investors

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Kaity Emerson

The Federal Reserve, FDIC and OCC Issue Final Guidance on Risk Management in Third-Party Relationships: Moore & Van Allen

On June 6, 2023, the Board of Governors of the Federal Reserve System (the Federal Reserve), the Federal Deposit Insurance Corporation (FDIC) and the Office of the Comptroller of the Currency (OCC, and collectively with the… more

Banking Sector, Compliance, FDIC, Federal Reserve, Final Guidance

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John Evans

SBIC Client Alert: Changes to Passive Business Rule

Earlier this week, the revised and final “Passive Business Rule” (13 CFR 107.720(b) of the Small Business Investment Act of 1958, as amended) was released by the U.S. Small Business Administration (the “SBA”)… more

Final Rules, Passive Activity, SBA, Small Business, Small Business Investment Company

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Taylor Boyles

The Biden Administration Issues Its COVID-19 Plan

Overview: On September 9, 2021, the Biden Administration issued a variety of measures designed to promote COVID-19 safeguards and decrease the spread of the COVID-19 virus. Such measures included two Executive Orders and… more

Biden Administration, Centers for Medicare & Medicaid Services (CMS), Coronavirus/COVID-19, Employer Mandates, Executive Orders

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Lesley Firestone

The Necessity of Evaluating Vapor Intrusion Risks during Environmental Due Diligence

Introduction - Vapor intrusion has emerged as an important legal, scientific, and policy issue over the last decade. With this issue’s growing importance, it is prudent for persons acquiring, leasing, or developing property… more

CERCLA, Contaminated Properties, Due Diligence, Environmental Assessments, Environmental Protection Agency (EPA)

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Robert Fisher

Proposed Treasury Regulations Impact “Deemed Dividend” Tax Rules in Financing Transactions

Following tax reform at the end of 2017, cash dividends from a foreign corporate subsidiary to a domestic corporate 10 percent shareholder are exempt from U.S. income tax because the shareholder is permitted a… more

Borrowers, Controlled Foreign Corporations, Corporate Financing, Dividends, Domestic Corporations

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Aishaah Foster

New Executive Order Raises Spotlight on Debanking

As anticipated, on August 7th, the White House published its Executive Order designed to address the “unlawful debanking” of certain individuals and industries. The Executive Order titled Guaranteeing Fair Banking For All… more

Banking Sector, Biden Administration, Cryptocurrency, Enforcement Actions, Executive Orders

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Christopher Fowler

Special Situations Client Bulletin - Legal Review Guide for Stressed/Distressed Credits

Although there may be differing views as to whether the U.S. economy is heading into some form of market correction, many would argue that certain warning signs have appeared that would suggest the possibility of an economic… more

Borrowers, Coronavirus/COVID-19, Corporate Governance, Credit Agreements, Debt Restructuring

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Amanda Carrano Franklin

Department of State to Pause Immigrant Visa Processing from 75 Countries

Department of State to Pause Immigrant Visa Processing from 75 Countries - The Department of State announced on January 14, 2026, that it is pausing the processing of immigrant visas from 75 countries in an attempt to screen… more

Foreign Nationals, Government Agencies, Immigrants, Immigration Enforcement, Immigration Procedures

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Beth Friedrich

An Incentives Wish List— What Companies Searching for Their Next Office Location Really Want from an Incentives Package

To be competitive in the site selection process, state and local governments know that they must provide enticing incentive packages that catch a company’s eye. After all, there are a lot of options out there when it comes to… more

Business Development, Business Expansion, Economic Development, Economic Growth, Incentives

See all updates »

Suzanne Gainey

The Federal Reserve, FDIC and OCC Issue Final Guidance on Risk Management in Third-Party Relationships: Moore & Van Allen

On June 6, 2023, the Board of Governors of the Federal Reserve System (the Federal Reserve), the Federal Deposit Insurance Corporation (FDIC) and the Office of the Comptroller of the Currency (OCC, and collectively with the… more

Banking Sector, Compliance, FDIC, Federal Reserve, Final Guidance

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Brandon Gaskins

European Parliament Passes Landmark Data Protection Regulation

On April 14, 2016, the European Parliament passed the General Data Protection Regulation (GDPR) and its companion, Data Protection Directive for Police and Criminal Justice Authorities. The GDPR is a comprehensive regulation… more

Consent, Data Breach, Data Protection Officers (DPOs), Data Security, EU

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Stephen Gruendel

Special Situations Client Bulletin - Legal Review Guide for Stressed/Distressed Credits

Although there may be differing views as to whether the U.S. economy is heading into some form of market correction, many would argue that certain warning signs have appeared that would suggest the possibility of an economic… more

Borrowers, Coronavirus/COVID-19, Corporate Governance, Credit Agreements, Debt Restructuring

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Stephen Hader

Department of State to Pause Immigrant Visa Processing from 75 Countries

Department of State to Pause Immigrant Visa Processing from 75 Countries - The Department of State announced on January 14, 2026, that it is pausing the processing of immigrant visas from 75 countries in an attempt to screen… more

Foreign Nationals, Government Agencies, Immigrants, Immigration Enforcement, Immigration Procedures

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Jenny Heichelbech

Wealth Transfer Newsletter

Although the estate and tax planning landscape has undergone substantial change in recent years, we can rest assured that even more change is ahead. We hope that you find this newsletter informative and useful for your personal… more

Estate Planning, Irrevocable Trusts, Tax Planning

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Toni-Ann Hines

The Right of Publicity in the Age of Technology, Social Media, and Heightened Cultural Exchange

Imagine you are a rising social media star. You create a video using a catchy phrase that immediately takes off. The phrase gains national, even global, attention and everyone begins using it. Now, let us say a company uses your… more

Appropriation, Copyright, Free Speech, Intellectual Property Protection, Name and Likeness

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Mark Horn

Update – Corporate Transparency Act on Hold

We are writing to let you know that, as a result of a Texas court order, the filing requirements under the Corporate Transparency Act (“CTA”) have been postponed indefinitely. The CTA, effective as of January 1, 2024, is… more

Beneficial Owner, Business Entities, Constitutional Challenges, Corporate Transparency Act, FinCEN

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Caitlin Horne

Update – Corporate Transparency Act on Hold

We are writing to let you know that, as a result of a Texas court order, the filing requirements under the Corporate Transparency Act (“CTA”) have been postponed indefinitely. The CTA, effective as of January 1, 2024, is… more

Beneficial Owner, Business Entities, Constitutional Challenges, Corporate Transparency Act, FinCEN

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Canaan Huie

North Carolina Primary Election Report

A special Congressional primary was held June 7th due to federal court action declaring two of North Carolina's congressional districts to be illegally gerrymandered. The ruling came too late to have state lawmakers re-draw new… more

Primary Elections

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Fielding Huseth

Challenging Prosecutors' Use Of Defendants' Jail Phone Calls

Pretrial detention imposes severe burdens on a defendant's ability to prepare for trial. One such burden is that the prosecution may receive, without a warrant, recordings of the defendant's electronic communications,… more

Audio Recording, Convictions, Detainees, Electronic Communications, Wiretap Act

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Clara Ilkka

California Amends Data Breach Notification Requirements

In October, California Governor Gavin Newson signed into law Senate Bill No. 446 (“SB 446”), amending the state’s data breach notification statute, California Civil Code Section 1798.82. SB 446 passed the California Senate and… more

California, Data Breach, Disclosure Requirements, Incident Response Plans, New Legislation

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Edward Ivey

LEGAL ALERT Re: Consumer Financial Protection Bureau’s Small Business Lending Data Collection under the Equal Credit Opportunity Act : Moore & Van Allen

The Consumer Financial Protection Bureau (the “CFPB”) has published a final rule implementing the requirements of Section 1071 of the Dodd-Frank Act (the “Final Rule”), which mandated data collection on certain credit… more

Compliance, Consumer Financial Protection Bureau (CFPB), Data Collection, Dodd-Frank, ECOA

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Yiran Jiang

The Desk: March Edition

In other news from last month, we found out that Brian Quintenz was nominated by President Trump to serve as the next CFTC Chair. See our synopsis on Quintenz below. If and when Quintenz is confirmed—TBD on when the Senate vote… more

Banking Sector, CFTC, Coinbase, Cryptocurrency, Department of Justice (DOJ)

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Christopher Jones

Update – Corporate Transparency Act on Hold

We are writing to let you know that, as a result of a Texas court order, the filing requirements under the Corporate Transparency Act (“CTA”) have been postponed indefinitely. The CTA, effective as of January 1, 2024, is… more

Beneficial Owner, Business Entities, Constitutional Challenges, Corporate Transparency Act, FinCEN

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Joseph Joyner Jr.

Wealth Transfer Newsletter

Although the estate and tax planning landscape has undergone substantial change in recent years, we can rest assured that even more change is ahead. We hope that you find this newsletter informative and useful for your personal… more

Estate Planning, Irrevocable Trusts, Tax Planning

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Matthew Kain

Update – Corporate Transparency Act on Hold

We are writing to let you know that, as a result of a Texas court order, the filing requirements under the Corporate Transparency Act (“CTA”) have been postponed indefinitely. The CTA, effective as of January 1, 2024, is… more

Beneficial Owner, Business Entities, Constitutional Challenges, Corporate Transparency Act, FinCEN

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Rob Kenny

The Transition Away From USD LIBOR for Swaps - A Report for U.S. Market Participants

With the Financial Conduct Authority (the “FCA”) announcing in July 2017, essentially, its intent to no longer persuade or compel panel banks to make LIBOR submissions by the end of 2021, the future of LIBOR, and its role in the… more

Banks, CFTC, End-Users, Financial Conduct Authority (FCA), Financial Markets

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Jennifer Kim

Department of State to Pause Immigrant Visa Processing from 75 Countries

Department of State to Pause Immigrant Visa Processing from 75 Countries - The Department of State announced on January 14, 2026, that it is pausing the processing of immigrant visas from 75 countries in an attempt to screen… more

Foreign Nationals, Government Agencies, Immigrants, Immigration Enforcement, Immigration Procedures

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Rachel LaBruyere

Rhode Island: State #19 to Enact Comprehensive Privacy Legislation

On June 29, 2024, Rhode Island’s governor signed the Rhode Island Data Transparency and Privacy Protection Act (RIDTPPA) into law. The RIDTPPA will go into effect January 1, 2026. The law generally aligns with other… more

Data Privacy, Data Protection, Data Protection Acts, Enforcement, Privacy Laws

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Joshua Lanning

What VC Fund Settlement Means For DEI Grant Programs

On Sept. 11, an Atlanta-based venture capital fund that ran a minority grant program, and an advocacy group founded by longtime diversity, equity and inclusion opponent Edward Blum, surprised many DEI advocates by announcing… more

Diversity and Inclusion Standards (D&I), Grants, Minority Equity Investments, Settlement, Venture Capital

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Anthony Lathrop

Transportation at SCOTUS: Arguments on NJ Transit Immunity from Lawsuits in NY and PA Will be Heard by the U.S. Supreme Court January 14th

The U.S. Supreme Court kicks off the latest session with transportation issues early up on the calendar. On January 14, 2026, the High Court will hear oral arguments on whether New Jersey Transit Corporation (NJ Transit) can be… more

Appellate Courts, Certiorari, Forum Shopping, Jurisdiction, Public Transit

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Wood Lay

FTC’s Non-Compete Ban Blocked

Bottom line: As of Tuesday night, the FTC’s non-compete rule has been set aside, cannot be enforced, and will not become effective on September 4, 2024. As an update to our prior alert regarding the Federal Trade Commission’s… more

Administrative Procedure Act, Arbitrary and Capricious, Competition, Employees, Employer Liability Issues

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Marcus Lee

Federal Cybersecurity Legislation Moving Quickly, But Is It In the Wrong Direction?

Federal cybersecurity legislation seeking to establish a national standard for data protection and breach response is quickly working its way through the legislative process. The bipartisan bill, formerly known as the Data… more

Cybersecurity, Data Protection, Federal Breach Notification Standard, Legislative Agendas, Legislative Committees

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John Lightbourne

Do Not Throw Away Your National Bank Charter Just Yet

“The ability of national banks to conduct a multistate business subject to a single uniform set of federal laws, under the supervision of a single regulator, free from visitorial powers of various state authorities, is a major… more

Appeals, Banking Regulators, Banking Sector, Cantero v Bank of America NA, Consumer Financial Products

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Micah Long

Update – Corporate Transparency Act on Hold

We are writing to let you know that, as a result of a Texas court order, the filing requirements under the Corporate Transparency Act (“CTA”) have been postponed indefinitely. The CTA, effective as of January 1, 2024, is… more

Beneficial Owner, Business Entities, Constitutional Challenges, Corporate Transparency Act, FinCEN

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Paul Lynch

Wealth Transfer Newsletter

Although the estate and tax planning landscape has undergone substantial change in recent years, we can rest assured that even more change is ahead. We hope that you find this newsletter informative and useful for your personal… more

Estate Planning, Irrevocable Trusts, Tax Planning

See all updates »

James Manning

United States Imposes Sanctions Related to Russia’s Invasion of Ukraine

In February 2014, the Revolution of Dignity or Maidan revolution in Ukraine resulted in the ousting of Ukrainian President Viktor Yanukovych. In the months that followed, Russia annexed the Crimea region of Ukraine and supported… more

Banks, Belarus, Biden Administration, Economic Sanctions, Executive Orders

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Tandy Mathis

Colorado’s AI Act: Implementation Delayed

In 2024, Colorado enacted the Colorado Artificial Intelligence Act, establishing the nation’s most comprehensive state-level frameworks for regulating high-risk AI systems. The law applies to AI used in consequential… more

Artificial Intelligence, Automated Decision Systems (ADS), Colorado, Data Protection, Machine Learning

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Gabriel Mathless

Special Situations Client Bulletin - Legal Review Guide for Stressed/Distressed Credits

Although there may be differing views as to whether the U.S. economy is heading into some form of market correction, many would argue that certain warning signs have appeared that would suggest the possibility of an economic… more

Borrowers, Coronavirus/COVID-19, Corporate Governance, Credit Agreements, Debt Restructuring

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Charlie McCurry Jr.

Commercial Real Estate FAQs for European Companies Considering a U.S. Presence

Many European companies have established operations in the United States for the first time in recent years. Because North Carolina offers an abundance of natural benefits, including excellent infrastructure and a skilled work… more

Business Entities, Commercial Leases, Commercial Real Estate Market, Due Diligence, EU

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Valecia McDowell

What VC Fund Settlement Means For DEI Grant Programs

On Sept. 11, an Atlanta-based venture capital fund that ran a minority grant program, and an advocacy group founded by longtime diversity, equity and inclusion opponent Edward Blum, surprised many DEI advocates by announcing… more

Diversity and Inclusion Standards (D&I), Grants, Minority Equity Investments, Settlement, Venture Capital

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Karin McGinnis

Ransomware Reality Check: Why Not Every Data Breach Creates Standing

At MVA, we often help clients who are victims of cyber incidents where threat actors take data and threaten to release it unless they are paid. With ransomware attacks and data exfiltration common, companies face mounting… more

Appeals, Class Action, Cyber Attacks, Data Breach, Data Privacy

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James McLoughlin Jr.

Challenging Prosecutors' Use Of Defendants' Jail Phone Calls

Pretrial detention imposes severe burdens on a defendant's ability to prepare for trial. One such burden is that the prosecution may receive, without a warrant, recordings of the defendant's electronic communications,… more

Audio Recording, Convictions, Detainees, Electronic Communications, Wiretap Act

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Carolyn Meade

CTA Reporting Relief: FinCEN Interim Rule Exempts US Companies from Reporting Beneficial Ownership & Foreign Companies from Reporting Information Regarding US Owners

The Financial Crimes and Enforcement Network of the U.S. Treasury Department (FinCEN) on March 21, 2025 announced an interim final rule (the “Interim Rule”) which, if finalized in its current form, exempts all domestic entities… more

Bank Secrecy Act, Beneficial Owner, Corporate Transparency Act, Executive Orders, Filing Deadlines

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Elena Mitchell

What VC Fund Settlement Means For DEI Grant Programs

On Sept. 11, an Atlanta-based venture capital fund that ran a minority grant program, and an advocacy group founded by longtime diversity, equity and inclusion opponent Edward Blum, surprised many DEI advocates by announcing… more

Diversity and Inclusion Standards (D&I), Grants, Minority Equity Investments, Settlement, Venture Capital

See all updates »

Matthew Morgan

Special Situations Client Bulletin - Legal Review Guide for Stressed/Distressed Credits

Although there may be differing views as to whether the U.S. economy is heading into some form of market correction, many would argue that certain warning signs have appeared that would suggest the possibility of an economic… more

Borrowers, Coronavirus/COVID-19, Corporate Governance, Credit Agreements, Debt Restructuring

See all updates »

P. Barrett Morris

The Desk: March

Enforcement Round-Up - New CFTC Director of Enforcement? According to early press reports, and confirmed by a recent announcement on March 2,CFTC Chairman Michael Selig has selected David I. Miller to join the agency as… more

Amicus Briefs, CFTC, Commodity Exchange Act (CEA), Derivatives, Designated Contract Markets (DCMs)

See all updates »

Alexis Narducci

CFPB Announces LIBOR Transition’s Final Rule, Amending Provisions of Regulation Z

On December 7, 2021, the Consumer Financial Protection Bureau (“CFPB”) published its final rule (“Rule”) facilitating the transition away from LIBOR for open-end and closed-end consumer financial products. The Rule amends… more

Consumer Financial Products, Consumer Financial Protection Bureau (CFPB), Final Rules, Libor, Notice Requirements

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Mark Nebrig

Trump Supreme Court Pick, Brett Kavanaugh, Could Play Role In Reshaping Major Securities Fraud Enforcement Tool

No one doubts that Judge Brett Kavanaugh, President Trump’s pick for the Supreme Court, would have an impact on the court’s jurisprudence if confirmed. For financial services and publicly-traded companies, as well as those that… more

Aiding and Abetting, False Statements, Financial Services Industry, Investment Schemes, Investors

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Drew P. Newman

The Desk: March

Enforcement Round-Up - New CFTC Director of Enforcement? According to early press reports, and confirmed by a recent announcement on March 2,CFTC Chairman Michael Selig has selected David I. Miller to join the agency as… more

Amicus Briefs, CFTC, Commodity Exchange Act (CEA), Derivatives, Designated Contract Markets (DCMs)

See all updates »

J. Evan Nogay

Acting Chairman Uyeda Suggests Revisiting the Role of State Securities Regulators in Connection with Mid-size Investment Advisers and Securities Registration

On April 8, 2025, then Acting Chairman Mark T. Uyeda of the U.S. Securities and Exchange Commission (“SEC”), highlighted in remarks before the Annual Conference on Federal and State Securities Cooperation two areas where… more

Broker-Dealer, Investment, Investment Adviser, Investment Advisers Act of 1940, NSMIA

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Joseph Norman

MVA Supply Chain Brief: Tariff-Related Contract Topics

Delivery terms aren’t just legal fine print—they are strategic terms that can drastically shift the costs and obligations between the parties to a contract, especially when tariffs are involved. This installment of MVA’s Supply… more

Contract Terms, Exports, FOB Terms, Imports, International Chamber of Commerce (ICC)

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Edward O'Keefe

Update from the Clearing House Annual Conference: Regulatory Shifts, AI in Focus, and Leadership Lessons from Eli Manning

The Clearing House conference was insightful as always. Here are our main takeaways. Preemption remains alive and well-at least at the OCC… more

Artificial Intelligence, Banking Sector, BSA/AML, FinCEN, FinTech

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Christopher Ogiba

Behind the Veil and the Blurred Distinctions of Entity Liability

As corporate counsel, you are well aware that the practice of creating, expanding, or reorganizing corporate entities and their subsidiaries is fraught with legal peril, both for your client and its officers and directors… more

Acquisitions, Alter Ego, Corporate Financing, Corporate Governance, Corporate Restructuring

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Tanisha Palvia

Increased Criminal and Civil Enforcement by DOJ for Skin Substitutes in Wound Care

The Department of Justice recently announced, “[i]n the first [criminal] prosecution of its kind,” that husband and wife owners of wound graft companies were sentenced to 14.5 and 15 years imprisonment respectively for causing… more

Anti-Kickback Statute, Centers for Medicare & Medicaid Services (CMS), Criminal Prosecution, Department of Justice (DOJ), Enforcement Actions

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Tiffany Payne

The Desk: March

Enforcement Round-Up - New CFTC Director of Enforcement? According to early press reports, and confirmed by a recent announcement on March 2,CFTC Chairman Michael Selig has selected David I. Miller to join the agency as… more

Amicus Briefs, CFTC, Commodity Exchange Act (CEA), Derivatives, Designated Contract Markets (DCMs)

See all updates »

Harry Payne III

Insurance contours clarified: agency relationships in premium financing

Today’s insurance professionals and legal practitioners know that the insurance market can be unpredictable and volatile. With external factors such as natural disasters, war, cyberattacks, and economic uncertainties, insurance… more

Breach of Contract, Broker-Dealer, Consumer Financial Products, Financing, Insurance Industry

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Leslie Pedernales

Washington State Legislature Takes Another Shot At a Consumer Data Privacy Law

Following an unsuccessful attempt last year at passing a comprehensive data privacy bill, the Washington State Legislature is hoping the second time’s the charm. Senate Bill 6281, this session’s updated version of The Washington… more

American Civil Liberties Union (ACLU), California Consumer Privacy Act (CCPA), Congressional Committees, Consumer Privacy Rights, Facial Recognition Technology

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Thomas Pennington

Focusing on the Mission While Watching Macro Trends

The flow of media coming at us reminds us that we continue to live in the challenging times that began in 2007. For our clients and companies, we can provide effective leadership and advice by maintaining focus on our missions… more

Corporate Culture, Regulatory Standards, State and Local Government

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Paul Peralta

The Biden Administration Issues Its COVID-19 Plan

Overview: On September 9, 2021, the Biden Administration issued a variety of measures designed to promote COVID-19 safeguards and decrease the spread of the COVID-19 virus. Such measures included two Executive Orders and… more

Biden Administration, Centers for Medicare & Medicaid Services (CMS), Coronavirus/COVID-19, Employer Mandates, Executive Orders

See all updates »

Samuel Person

Impact of Carroll and Economic Loss Rule on Service Providers in South Carolina

Long has the inconsistent expansion and contraction of the economic loss rule and its exceptions frustrated South Carolina jurists and practitioners alike. Now, the South Carolina Supreme Court hopes to provide clarity by… more

Breach of Contract, Construction Industry, Contract Disputes, Contract Drafting, Economic Loss Doctrine

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Alan Pope

Special Situations Client Bulletin - Legal Review Guide for Stressed/Distressed Credits

Although there may be differing views as to whether the U.S. economy is heading into some form of market correction, many would argue that certain warning signs have appeared that would suggest the possibility of an economic… more

Borrowers, Coronavirus/COVID-19, Corporate Governance, Credit Agreements, Debt Restructuring

See all updates »

Catherine Prater

Challenging Prosecutorial Use of a Pretrial Detainee’s Electronic Communications

Pretrial detention imposes several unreasonable burdens on a defendant's ability to prepare for trial. One such burden is that the prosecution often gains access—without a warrant—to the defendant's telephone calls because the… more

Case Management, Detainees, Electronic Communications, Evidence, Litigation Strategies

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Walter Price

2018 North Carolina Midterm Election Report

The nation’s political divide was reflected in last night’s Congressional elections. Republicans will maintain control of the Senate, but Democrats have gained control of the House of Representatives… more

Appeals, Constitutional Amendment, Election Results, General Assembly, General Elections

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Jonathan Prytherch

SEC Settlement Reminds Firms to Periodically Review Their Use of Models, Calculators and Tools When Making Client Recommendations

On October 2, 2024, the Securities and Exchange Commission (“SEC”) announced it had settled enforcement proceedings against Thrivent Investment Management, Inc. (“Thrivent”), a SEC dually-registered broker-dealer and investment… more

Enforcement Actions, Securities and Exchange Commission (SEC), Securities Litigation, Securities Regulation, Securities Violations

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Nader Raja

The Desk: March

Enforcement Round-Up - New CFTC Director of Enforcement? According to early press reports, and confirmed by a recent announcement on March 2,CFTC Chairman Michael Selig has selected David I. Miller to join the agency as… more

Amicus Briefs, CFTC, Commodity Exchange Act (CEA), Derivatives, Designated Contract Markets (DCMs)

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Kelsey Rector

Insurance contours clarified: agency relationships in premium financing

Today’s insurance professionals and legal practitioners know that the insurance market can be unpredictable and volatile. With external factors such as natural disasters, war, cyberattacks, and economic uncertainties, insurance… more

Breach of Contract, Broker-Dealer, Consumer Financial Products, Financing, Insurance Industry

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William (Will) Reeves

EU Listing Act Improves Capital Markets Access for SMEs

On November 14, 2024, the EU Listing Act (the “Act”) was published in the Official Journal of the European Union. The Act entails a legislative package designed to improve capital markets access and reduce disclosure obligations… more

Capital Markets, EU, Investment, Investors, Legislative Agendas

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Miles Reynolds

CTA Reporting Relief: FinCEN Interim Rule Exempts US Companies from Reporting Beneficial Ownership & Foreign Companies from Reporting Information Regarding US Owners

The Financial Crimes and Enforcement Network of the U.S. Treasury Department (FinCEN) on March 21, 2025 announced an interim final rule (the “Interim Rule”) which, if finalized in its current form, exempts all domestic entities… more

Bank Secrecy Act, Beneficial Owner, Corporate Transparency Act, Executive Orders, Filing Deadlines

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Maria Romero Perdomo

International Companies Have Options Following U.S. Supreme Court IEEPA Tariff Ruling

Earlier this year, U.S. President Donald Trump levied wide-ranging tariffs in reliance on the International Emergency Economic Powers Act (IEEPA) and the U.S. Customs and Border Patrol[MR1] (CBP) began collecting those tariffs… more

Customs and Border Protection, Importers, Imports, International Emergency Economic Powers Act (IEEPA), International Trade

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John Sanders

International Companies Have Options Following U.S. Supreme Court IEEPA Tariff Ruling

Earlier this year, U.S. President Donald Trump levied wide-ranging tariffs in reliance on the International Emergency Economic Powers Act (IEEPA) and the U.S. Customs and Border Patrol[MR1] (CBP) began collecting those tariffs… more

Customs and Border Protection, Importers, Imports, International Emergency Economic Powers Act (IEEPA), International Trade

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Frank Schall

International Companies Have Options Following U.S. Supreme Court IEEPA Tariff Ruling

Earlier this year, U.S. President Donald Trump levied wide-ranging tariffs in reliance on the International Emergency Economic Powers Act (IEEPA) and the U.S. Customs and Border Patrol[MR1] (CBP) began collecting those tariffs… more

Customs and Border Protection, Importers, Imports, International Emergency Economic Powers Act (IEEPA), International Trade

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Roderick Setzer, II

The Federal Reserve, FDIC and OCC Issue Final Guidance on Risk Management in Third-Party Relationships: Moore & Van Allen

On June 6, 2023, the Board of Governors of the Federal Reserve System (the Federal Reserve), the Federal Deposit Insurance Corporation (FDIC) and the Office of the Comptroller of the Currency (OCC, and collectively with the… more

Banking Sector, Compliance, FDIC, Federal Reserve, Final Guidance

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Ben Shook

FTC’s Non-Compete Ban Blocked

Bottom line: As of Tuesday night, the FTC’s non-compete rule has been set aside, cannot be enforced, and will not become effective on September 4, 2024. As an update to our prior alert regarding the Federal Trade Commission’s… more

Administrative Procedure Act, Arbitrary and Capricious, Competition, Employees, Employer Liability Issues

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Kimberly Short Kirk

Client Alert: HIPAA Covered Entities that Create, Maintain, or Receive Part 2 SUD Records Must Update Their Notice of Privacy Practices by February 16, 2026

Overview of Required NPP Changes: 42 C.F.R. Part 2 applies to patient records created by, received or acquired by any federally assisted program that provides diagnosis, treatment or referral for treatment of a substance… more

Covered Entities, Department of Health and Human Services (HHS), Final Rules, Health Insurance Portability and Accountability Act (HIPAA), Healthcare Facilities

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Anup Shrinivasan Iyer

Navigating data challenges and compliance in AI initiatives

Data serves as the foundational element for artificial intelligence (AI) models, enabling algorithms to discern patterns, forecast outcomes, and provide insights. The advent of generative AI, which relies extensively on vast and… more

Algorithms, Artificial Intelligence, California Consumer Privacy Act (CCPA), Compliance, Data Privacy

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Kevin Siebs

Client Alert: HIPAA Covered Entities that Create, Maintain, or Receive Part 2 SUD Records Must Update Their Notice of Privacy Practices by February 16, 2026

Overview of Required NPP Changes: 42 C.F.R. Part 2 applies to patient records created by, received or acquired by any federally assisted program that provides diagnosis, treatment or referral for treatment of a substance… more

Covered Entities, Department of Health and Human Services (HHS), Final Rules, Health Insurance Portability and Accountability Act (HIPAA), Healthcare Facilities

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Russell Sizemore

Employment & Labor Update - Supreme Court Approves Employers’ Right To Conduct Security Screening Without Wage Liability

On Wednesday, the Supreme Court ruled that employers have no obligation to pay their employees for time spent undergoing security screenings when those screenings are not integral to the employees’ job duties. Busk et al. v… more

Amazon, Integrity Staffing v Busk, SCOTUS, Security Checks, Wages

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Robert Smith, II

South Carolina Legislative Update

Infrastructure, workforce development, Sharia Law, and automobile dealer closing fees seemed to dominate last week’s activities of the South Carolina General Assembly. Below are a few highlights… more

Car Dealerships, Closing Documents, Critical Infrastructure Sectors, Federal Funding, Gas Taxes

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Ryan Smith

SBIC Client Alert: Changes to Passive Business Rule

Earlier this week, the revised and final “Passive Business Rule” (13 CFR 107.720(b) of the Small Business Investment Act of 1958, as amended) was released by the U.S. Small Business Administration (the “SBA”)… more

Final Rules, Passive Activity, SBA, Small Business, Small Business Investment Company

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Zachary Smith

Smith to Moderate Judges’ Panel at ABI Symposium to Benefit Puerto Rico

Charlotte Bankruptcy Member and Team Leader Zach Smith will be moderating a panel of Puerto Rico’s Bankruptcy Judges at the American Bankruptcy Institute’s Caribbean Insolvency Symposium on February 1 in Miami, Florida… more

American Bankruptcy Institute, Commercial Bankruptcy, Financial Crisis, Hurricane Irma, Hurricane Maria

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John Stoker

2025 Year‑in‑Review and 2026 Look-Ahead: Financial Regulatory Developments, What Has Changed Since Publication, and What’s to Come

Key Financial Regulatory Developments - 2025 brought one of the most dynamic financial regulatory environments since the immediate aftermath of Dodd‑Frank, marked by shifting agency priorities, rapid litigation developments,… more

Anti-Money Laundering, Artificial Intelligence, Basel III, BSA/AML, Capital Requirements

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Mary Katherine H. Stukes

Implications of PFAS CERCLA liability for the commercial real estate industry

What do you get when you combine a strict liability statute that could apply to every commercial property and a “forever chemical” that could exist almost everywhere? Designation of Perfluorooctanoic Acid (PFOA) and… more

CERCLA, Chemicals, Commercial Property Owners, Environmental Protection Agency (EPA), Final Rules

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Jenny Sugar

Increased Criminal and Civil Enforcement by DOJ for Skin Substitutes in Wound Care

The Department of Justice recently announced, “[i]n the first [criminal] prosecution of its kind,” that husband and wife owners of wound graft companies were sentenced to 14.5 and 15 years imprisonment respectively for causing… more

Anti-Kickback Statute, Centers for Medicare & Medicaid Services (CMS), Criminal Prosecution, Department of Justice (DOJ), Enforcement Actions

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Scott Syfert

Immigration Update: Consular Posts Rescheduling H-1B Appointments Following Implementation of Online Presence Review

Beginning December 8, 2025, applicants with H-1B and H-4 visa appointments began receiving notices that their consular interviews, scheduled on or after December 15, 2025, were being unilaterally rescheduled. There have been… more

Biometric Information, Business Immigration, H-1B, H-4 Spouses, Immigration Procedures

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Todd Taylor

CFPB Enjoined from Enforcing Personal Financial Data Rights Rule 1033

On October 29th, the Eastern District of Kentucky (the “Court”) enjoined the CFPB from enforcing the Personal Financial Data Rights Rule (the “Rule”) until it has completed its reconsideration of the Rule. The Rule had been… more

Consumer Financial Protection Bureau (CFPB), Data Privacy, Data Security, Data-Sharing, Dodd-Frank

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Christopher Tomlinson

Beware Compromised Business Email... and the Litigation that Follows

Businesses are facing this system hack with ever-increasing frequency: An accounts payable employee receives new or updated payment instructions from a vendor via email. The email appears to be from a familiar counterpart at the… more

Customer Information, Cyber Crimes, Cybersecurity, Data Breach, Data Privacy

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Laura Truesdale

Implications of PFAS CERCLA liability for the commercial real estate industry

What do you get when you combine a strict liability statute that could apply to every commercial property and a “forever chemical” that could exist almost everywhere? Designation of Perfluorooctanoic Acid (PFOA) and… more

CERCLA, Chemicals, Commercial Property Owners, Environmental Protection Agency (EPA), Final Rules

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Scott Tyler

MVA Supply Chain Brief: Tariff-Related Contract Topics

Delivery terms aren’t just legal fine print—they are strategic terms that can drastically shift the costs and obligations between the parties to a contract, especially when tariffs are involved. This installment of MVA’s Supply… more

Contract Terms, Exports, FOB Terms, Imports, International Chamber of Commerce (ICC)

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Bradley Van Hoy

Update – Corporate Transparency Act on Hold

We are writing to let you know that, as a result of a Texas court order, the filing requirements under the Corporate Transparency Act (“CTA”) have been postponed indefinitely. The CTA, effective as of January 1, 2024, is… more

Beneficial Owner, Business Entities, Constitutional Challenges, Corporate Transparency Act, FinCEN

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Sara Page H. Waugh

Update – Corporate Transparency Act on Hold

We are writing to let you know that, as a result of a Texas court order, the filing requirements under the Corporate Transparency Act (“CTA”) have been postponed indefinitely. The CTA, effective as of January 1, 2024, is… more

Beneficial Owner, Business Entities, Constitutional Challenges, Corporate Transparency Act, FinCEN

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F. Emmett Weindruch

New Importance of Meeting Section 101 Requirements

On March 20, 2012, the Supreme Court handed down its opinion in Mayo Collaborative Services v. Prometheus Labs., Inc., No. 10-1150. In this case, the Court considered the validity of two patents belonging to Prometheus with… more

Mayo v. Prometheus, Patent-Eligible Subject Matter, Patents, SCOTUS, Section 101

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Kathryn Wellman

Four Themes Emerging from the 2026 ABA Banking Law Committee Meeting

The 2026 ABA Banking Law Committee Meeting held in Washington, DC from January 15-17 delivered significant content in just over two full days of sessions. Conversations with state and federal regulators, agency general counsels,… more

Anti-Money Laundering, Banking Sector, BSA/AML, Enforcement Actions, FDIC

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Pierce Werner

Implications of PFAS CERCLA liability for the commercial real estate industry

What do you get when you combine a strict liability statute that could apply to every commercial property and a “forever chemical” that could exist almost everywhere? Designation of Perfluorooctanoic Acid (PFOA) and… more

CERCLA, Chemicals, Commercial Property Owners, Environmental Protection Agency (EPA), Final Rules

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J. Mark Wilson

Changes to Visa Waiver Program Take Effect

The US Department of State (DOS) has begun implementing changes under the Visa Waiver Program Improvement and Terrorist Travel Prevention Act of 2015. Signed into law on December 18, 2015, the Act establishes new criteria for… more

ESTA, Iran, Iraq, Sudan, Syria

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Danielle Wise

Breakage Costs & SOFR Loans: Breaking-up is Still Expensive

It may not be the next Taylor Swift song, but a prepayment changes the Lender-Borrower relationship. In a swap, we all know there are consequences. Rather than a “breakage cost”, the swap market just calls it an early… more

Borrowers, Lenders, Libor, Loans, Prepayment Penalties

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Anvi Yalavarthy

Connecticut Data Privacy Act Updates Go Into Effect This Year

Senate Bill 1295, entitled, An Act Concerning Broadband Internet, Gaming, Social Media, Online Services and Consumer Contracts (“Senate Bill 1295”, the “Senate Bill”, or the “Bill”), was passed by Connecticut legislature in June… more

Automated Decision Systems (ADS), Connecticut, Consumer Privacy Rights, Data Privacy, Data Protection

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John Zaloom

OSHA ETS Stayed by Supreme Court

Yesterday the Supreme Court issued an order staying the OSHA Emergency Temporary Standard (ETS) that would have required all employers with 100 or more employees to enforce Covid-19 vaccination or testing requirements… more

Biden Administration, Biden v Missouri, Centers for Medicare & Medicaid Services (CMS), Constitutional Challenges, Coronavirus/COVID-19

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Michael Zeller

Immigration Update: Consular Posts Rescheduling H-1B Appointments Following Implementation of Online Presence Review

Beginning December 8, 2025, applicants with H-1B and H-4 visa appointments began receiving notices that their consular interviews, scheduled on or after December 15, 2025, were being unilaterally rescheduled. There have been… more

Biometric Information, Business Immigration, H-1B, H-4 Spouses, Immigration Procedures

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Erin Clawson Zorn

MVA Supply Chain Brief: Tariff-Related Contract Topics

Delivery terms aren’t just legal fine print—they are strategic terms that can drastically shift the costs and obligations between the parties to a contract, especially when tariffs are involved. This installment of MVA’s Supply… more

Contract Terms, Exports, FOB Terms, Imports, International Chamber of Commerce (ICC)

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