Episode 398 -- Anik Shah, SanDisk Head of Compliance: Anti-Corruption Developments and Managing Risks
Turning Point for Digital Assets: 2025 Year in Review and What Comes Next — The Crypto Exchange Podcast
Podcast - Victories and "Losses" in the Courtroom
Podcast - Finding Humor in Law
Block & Order | Building on Layer 1 with Jennie Levin: Algorand, Policy Shifts & Tokenization’s Future
12 Days of Regulatory Insights: Day 12 – The SEC Reset — Regulatory Oversight Podcast
Daily Compliance News: October 29, 2025, The CEO No-No Edition
10 For 10: Top Compliance Stories For the Week Ending October 18, 2025
Daily Compliance News: October 17, 2025, The Decoupling Edition
Navigating the New Frontier of Digital Assets and Tokenization — The Crypto Exchange Podcast
10 For 10: Top Compliance Stories For the Week Ending October 4, 2025
Going Nuclear – Private Equity Trends in US Energy — PE Pathways Podcast
Daily Compliance News: October 1, 2025, The Q4 Edition
LathamTECH in Focus: Are Tokenized Securities Different From Traditional Securities?
FCPA Compliance Report - Whistleblowing in 2025 - Insights from Mary Inman
Daily Compliance News: September 19, 2025, The Enron Still Toxic Edition
Daily Compliance News: September 16, 2025, The End of Quarterly Reporting Edition
Decoding Crypto Legislation: GENIUS Moves and Clarity Paths — The Crypto Exchange Podcast
Conversation with Former SEC Chief Economist Dr. Jessica Wachter on Investment Management Rulemaking at the Commission – PE Pathways Podcast
Institutional Adoption, Tax Challenges, and What's Next for Crypto in the US — Insights from KPMG's Tony Tuths - The Crypto Exchange Podcast
The Federal Reserve, FDIC and OCC jointly reissued interagency guidance documents to further remove references to reputation risk, part of a broader supervisory effort to address debanking that has featured prominently in the...more
On June 4, the U.S. Supreme Court unanimously held in Sripetch v. SEC that the U.S. Securities and Exchange Commission (SEC) does not need to prove that investors suffered pecuniary loss in order to obtain a disgorgement...more
On June 2, 2026, the U.S. Securities and Exchange Commission (the “SEC”) published its Draft Strategic Plan for fiscal years 2026-2030, formally incorporating Chair Paul Atkins’ deregulatory and innovation-focused vision into...more
U.S. Financial Services Firms Announce Stablecoin Products - A U.S. national bank, SoFi, recently announced that it is the first to offer a “U.S. national bank-issued stablecoin [that] is available directly on a banking...more
On June 3, 2026, Sullivan & Worcester submitted a rebuttal comment letter to the U.S. Securities and Exchange Commission (SEC) in response to comment letters supporting Nasdaq’s proposed continued listing requirement...more
Despite the heightened drama of the 2026 shareholder proposal season – precipitated by the landmark announcement from the staff of the Division of Corporation Finance of the SEC (SEC staff) that it would generally not respond...more
The Securities and Exchange Commission (SEC) has proposed amendments to the rules and forms governing registered securities offerings, with the stated goal of enabling a significantly broader universe of public companies to...more
It’s a critical period in the evolution of a digital asset ecosystem, as a more permissive regulatory environment has created new opportunities for digital asset ventures....more
Here’s an excerpt from this Cooley Alert penned by Rich Segal, Chad Mills, Julia Boesch, Reid Hooper, Liz Dunshee, Luci Altman, Victoria Peluso, Katherine Denby and Christine Turner:...more
The United States Securities and Exchange Commission (SEC) issued a new final rule on May 18, 2026, formally rescinding Rule 202.5(e) of its rules of informal procedure. In place for more than 50 years, Rule 202.5(e)...more
On May 29, 2026, the SEC proposed to rescind the climate-related disclosure rules adopted in March 2024 (the "2024 rules") under then-Chair Gary Gensler. ...more
The Securities and Exchange Commission has proposed amendments that would substantially expand the availability of scaled executive compensation disclosure and related proxy voting relief for many public companies. The...more
On May 19, 2026, the Securities and Exchange Commission (SEC) proposed rule amendments that would significantly simplify executive compensation disclosure requirements for many public companies. The proposed rules would split...more
On June 4, the U.S. Supreme Court unanimously held that the SEC need not prove investors suffered pecuniary loss before obtaining a disgorgement award in a civil enforcement action. The case involved a defendant who the SEC...more
On May 19, 2026, the U.S. Securities and Exchange Commission (the SEC or Commission) announced proposed rule and form amendments that would substantially revise the framework for registered securities offerings by U.S. public...more
On May 19, the SEC announced two proposed rules to modernize the registered offering process and to simplify the public company reporting framework. The agency explained that these proposed rules were designed to incentivize...more
On May 27, 2026, the U.S. Department of Justice (DOJ) and the Commodity Futures Trading Commission (CFTC) filed parallel criminal and civil insider trading actions in the U.S. District Court for the Southern District of New...more
On June 4, 2026, in Sripetch v. SEC, the U.S. Supreme Court unanimously held that the SEC may obtain disgorgement of a defendant’s ill-gotten gains in a civil enforcement action without proving that investors suffered...more
On May 29, the SEC announced the proposed rescission of the climate-related disclosure rules adopted by the agency in March 2024, which, though never taking effect, would have required registrants to provide certain...more
On May 18, 2026, the Securities and Exchange Commission (SEC) released proposed amendments to the public company offering and reporting framework, which, if implemented, would represent the most significant overhaul of the...more
On May 27, the SEC granted an application for temporary registration as a clearing agency under Section 17A of the Exchange Act, which the applicant described as making it the first “blockchain-native” firm registered by the...more
Pursuant to section 205 of the Investment Advisers Act of 1940 (the “Advisers Act”), an investment adviser registered with the Securities and Exchange Commission (the “SEC”) is generally prohibited from entering into an...more
On May 19, 2026, the U.S. Securities and Exchange Commission (the SEC or Commission) announced proposed rule and form amendments that would streamline the existing filer status framework and extend many of today’s scaled...more
Enforcement Update: This month’s enforcement roundup covers five significant CFTC developments that demand immediate attention from registrants and market participants:...more
Sripetch v. SEC, No. 25-466 - Introduction - Yesterday, the Supreme Court unanimously held that the SEC is not required to show that investors suffered pecuniary loss in order to obtain a disgorgement award. But the Court...more
