Free Writings + Perspectives

Latest

SEC Investor Advisory Committee to meet… SEC Investor Advisory Committee to meet on Mandatory Arbitration Clauses, Alternative Investments, and Finfluencers

Preparing for the 2025 US Proxy &… Preparing for the 2025 US Proxy & Annual Reporting Season

Rule 15c2-11 Relief for Fixed Income… Rule 15c2-11 Relief for Fixed Income Securities

Securities Litigation and Regulatory Enforcement

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Update to the Qualified Professional… Update to the Qualified Professional Asset Manager Exemption (QPAM)

SEC and DOJ Charge Founder and Promoters… SEC and DOJ Charge Founder and Promoters of “HyperFund” with $1.7 Billion Crypto Pyramid and Ponzi Scheme

Judge Rules That Terraform’s Crypto… Judge Rules That Terraform’s Crypto Assets Are Securities

SEC Actions

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Director Fails to Disclose FDA Orders… Director Fails to Disclose FDA Orders Halting Two Drugs

This Week In Securities Litigation (Week… This Week In Securities Litigation (Week of December 2, 2024)

Cooperation and Its Impact Cooperation and Its Impact

Andrew Abramowitz, PLLC

Latest

Heads-Up for the Corporate Transparency… Heads-Up for the Corporate Transparency Act

Remote Work – Post-Pandemic Update of… Remote Work – Post-Pandemic Update of an Old Post

Tips on Limiting Liability for Passive… Tips on Limiting Liability for Passive Investors in Private Companies

FCPA Professor

Latest

Hmmmm …. Interesting Hmmmm …. Interesting

500.com and the Specter of… 500.com and the Specter of “Chinese-Issuer” Enforcement

Does The SEC Even Need An FCPA Unit? Does The SEC Even Need An FCPA Unit?

Insurance Innovation Watch

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On Demand Insurance is Here But Will it… On Demand Insurance is Here But Will it Stay?

Regulatory Impact of Artificial… Regulatory Impact of Artificial Intelligence Use in Insurance

Blockchain in the Insurance Industry… Blockchain in the Insurance Industry Series: Part 2

Oil and Gas Fraud Lawyer Blog

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When the Investment Scammer Provides… When the Investment Scammer Provides Clues, Listen

Investment Fraud: Understanding Your… Investment Fraud: Understanding Your Rights and Finding Hope

Ponzi Scheme Entices 2,000 Investors… Ponzi Scheme Entices 2,000 Investors with over $336 Million Invested

IM Insights

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FINRA Issues Comprehensive Guidance on… FINRA Issues Comprehensive Guidance on Compliance and Risk Monitoring

SEC Seeks to Level the Playing Field… SEC Seeks to Level the Playing Field with New Fund of Funds Rule

Newly Released SEC Statement Permits… Newly Released SEC Statement Permits Closed-End Funds’ Reliance on Control Share Acquisition Statutes as Defensive Measure

Investigations and Enforcement Blog

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We Are Moving “Investigations &… We Are Moving “Investigations & Enforcement Blog” to a New Web Platform

Disruptive Technology Strike Force: Year… Disruptive Technology Strike Force: Year in Review

Asia Pacific 2023 Anti-Corruption… Asia Pacific 2023 Anti-Corruption Rankings: Transparency International’s CPI and the TRACE Bribery Risk Matrix

Life Sciences Securities Litigation

Latest

Annual Securities Class Action Report… Annual Securities Class Action Report Shows Life Sciences Firms Remain a Top Target for Claims

The BAYADA Companies Settle FCA and… The BAYADA Companies Settle FCA and Kickback Allegations for $17M

DOJ Announces $160 Million Settlement… DOJ Announces $160 Million Settlement with Mail-Order Diabetic Testing Supplier and Parent Company

Federal Securities Law Source

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Take charge of compliance: Ensure your… Take charge of compliance: Ensure your business meets Federal Corporate Transparency Act reporting requirements

Deadline approaching for public… Deadline approaching for public companies to adopt Dodd-Frank clawback policies

House votes to expand access to… House votes to expand access to accredited investor status

Elizabeth L. Carter Blog

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Chicago-Based Community Investment Funds… Chicago-Based Community Investment Funds Making a Difference

Digital Assets and Crowdfunding: How… Digital Assets and Crowdfunding: How This Relates to Investor Status

Could SEC’s mandating ESG disclosures… Could SEC’s mandating ESG disclosures harm Black businesses?

Public Chatter

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Filing Fee Tables Must Be iXBRL Tagged Filing Fee Tables Must Be iXBRL Tagged

Midyear Update on the Corporate… Midyear Update on the Corporate Transparency Act

The SEC’s Climate Rules: Item… The SEC’s Climate Rules: Item 1502(e)’s Transition Plan Disclosure (Including Annual Progress)

Enforcement Highlights

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SEC Examinations 2022 Priorities: Reg… SEC Examinations 2022 Priorities: Reg BI, ESG, Private Funds, Information Security & Operational Resiliency, and Crypto

FINRA Wades into the Controversial… FINRA Wades into the Controversial Deep-End of CCO Supervisory Liability

The SEC Sues Investment Advisory Firm in… The SEC Sues Investment Advisory Firm in Connection with Alleged Failure to Disclose Revenue Sharing and Other Financial Conflicts, as Well as Converting Clients to Wrap Accounts Without Considering Whether it is in Clients’ Best Interests

The Securities Law Blog

Latest

SEC Investor Advisory Committee to… SEC Investor Advisory Committee to Examine Mandatory Arbitration Clauses in Adviser Agreements and Alternative Assets and Retail Investors at December 10 Meeting

SEC Charges Kiromic BioPharma and Two… SEC Charges Kiromic BioPharma and Two Former C-Suite Executives with Misleading Investors about Status of FDA Reviews

SEC Charges Ken Leech, Former Co-Chief… SEC Charges Ken Leech, Former Co-Chief Investment Officer of Western Asset Management Co., with Fraud