Thought Leadership
September 4, 2024 Advisory
DOL Fiduciary Rule Implementation Delayed. What Does the DOL Do Next?
July 2, 2024 Advisory
Auditor Fraud Scandal Further Highlights Need to Properly Vet Audit Firms
June 28, 2024 Advisory
Supreme Court Holds SEC Statutory Fraud Claims Must Be Adjudicated in Court vs. Administrative Proceedings
December 4, 2023 Reports and White Papers
Summary & Comparison Chart: NASAA Proposed Broker-Dealer Model Rule and SEC Regulation Best Interest
Appendix to Comment Letter by the Securities Industry and Financial Markets Association (SIFMA)
October 26, 2023 Advisory
SEC Anticorruption Enforcement Actions in FY2023: What You Need to Know
September 26, 2023 Advisory
The SEC Plunges into the NFT Space: When “Smart Contracts” Become “Investment Contracts”
September 20, 2023 Advisory
SEC Extends Whistleblower Protection Rules to Private Business Use of Employee Confidentiality Agreements
March 12, 2023 Advisory
Governments Extend a Safety Net for SVB Depositors while Signature Bank Shutters
November 2, 2022 Advisory
The SEC New Officer Clawback Rule: What Should Be on Your Compliance and Compensation Radar
September 15, 2022 Advisory
Confronting the “Digital Elephant in the Room”: Expansion of SEC Crypto Regulation Looms
July 7, 2022 Advisory
SEC Underscores Use of Routine Confidentiality Agreements for Employees May Violate Whistleblower Protection Rules
March 1, 2022
Crypto and Blockchain’s Surging Wave of Data Laws (Part I of IV)
February 2, 2021 Advisory
Too Much of a Good Thing: Increased SPAC Activity Drives Anticipated Bump in Regulatory Oversight
January 4, 2021 Advisory
Congress Votes to Overturn NDAA Veto
February 16, 2016 Advisory
Tech Company Reaches $28 Million Settlement in Chinese Bribery Probe
November 6, 2015 Advisory
Crowded Markets - The SEC Adopts New Rules Permitting Title III Crowdfunding
