Episode 335 -- The New DOJ Whistleblower Program
Navigating Emerging Privacy Issues in Financial Services — The Consumer Finance Podcast
Implications of the SEC Cybersecurity Disclosure Rule
Corruption, Crime and Compliance: SEC Suffers Dismissal of Claims in Solarwinds Securities Fraud Case
Episode 334 -- District Court Dismisses Bulk of SEC Claims Against Solarwinds
The Woody Report: The Solar Winds Dismissal
In That Case: Securities and Exchange Commission v. Jarkesy
Corruption, Crime and Compliance: Deep Dive into The SEC’s Settlement with R&R Donnelly on Cybersecurity Controls
Episode 332 -- Deep Dive into SEC’s Internal Controls and Cybersecurity Settlement with R&R Donnelly
The Justice Insiders Podcast: Jarkesy’s Implications for the Administrative State
DE Under 3: OFCCP Must Shut Down its Administrative Court Prosecutions as a Result of SCOTUS’ SEC Jury Trial Case Decision
Dogecoin’s Day in Court
Unpacking the Lummis-Gillibrand Payment Stablecoin Act: Implications for the Digital Asset Industry — The Crypto Exchange Podcast
Podcast: Is Cryptocurrency a Security (like an orange grove)?
Navigating the Regulatory Waters: The SEC's Wells Notice to Uniswap and its Impact on DeFi — The Crypto Exchange Podcast
Will Resiliency Carry the Digital Asset Sector Through 2024: Federal Legislative Developments and OFAC Consent Orders — The Crypto Exchange Podcast
Compliance into the Weeds: The WACKO Enforcement Action Involving BF Borgers
Meeting the Proposed SEC Climate Disclosure Requirements
Understanding the Whistleblower Pilot Program in the Southern District of New York
2 Gurus Talk Compliance: Episode 26 – The Compliance Week Wrap Up Edition
On August 1, the Federal Trade Commission (FTC) and Department of Justice (DOJ) virtually cohosted the first public meeting of the multiagency Strike Force on Unfair and Illegal Pricing (Strike Force), focused on antitrust...more
The Securities and Exchange Commission announced an upcoming meeting of its Small Business Capital Formation Advisory Committee on May 6, 2024. The meeting will include a discussion of Regulation Crowdfunding (Reg CF) and...more
The SEC's five commissioners on March 6, 2024, will vote on whether to adopt long-awaited public company climate disclosure rules that would require registrants to report climate-related risks and metrics. In a Feb. 28, 2024,...more
The SEC announced an open meeting for March 6, 2024 to vote and consider adoption of final climate-related disclosure requirements for public companies. This comes after nearly two years since the SEC first proposed its...more
A bond issue (a debt obligation of a local government) is often perceived as a mystery for many Pennsylvania local government officials and solicitors. The securities and tax regulations governing municipal bonds have grown...more
The SEC has scheduled a public meeting for July 26, 2023 to, among other things, “consider whether to adopt rules to enhance and standardize disclosures regarding cybersecurity risk management, strategy, governance, and...more
The SEC has scheduled an open meeting on Wednesday to decide on the adoption of eagerly anticipated cybersecurity incident and governance reporting rules. If the agency adopts rules that align with what it proposed last year,...more
The Securities and Exchange Commission announced that it will hold an open meeting on July 12 to consider a number of matters, including money market reforms. At the end of 2021, the SEC had proposed extensive changes to the...more
The Securities and Exchange Commission will host an open meeting on March 22, 2023 at 10 a.m, which will be open to the public via webcast on the SEC website. The Division of Investment Management will present on Enhancing...more
The Securities and Exchange Commission recently announced it will hold an open meeting on January 25, 2022, which will be webcast, in order to consider whether to propose a new rule to implement Section 27B of the Securities...more
At today’s open meeting, the Securities and Exchange Commission voted to approve amendments to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. The SEC had proposed extensive amendments in January 2022,...more
The SEC Division of Examinations recently published a Risk Alert on quarterly reports required under Exchange Act Rule 606, which are published by broker-dealers to provide customers with insight into factors influencing...more
FINRA recently provided an update on the August 2021 review of its members’ practices and controls related to the opening of options accounts and related areas, including account supervision, communications, and diligence. ...more
The Securities and Exchange Commission’s Investor Advisory Committee announced a virtual public meeting to be held on December 8, 2022 to discuss several investor-related matters. The committee is scheduled to host three...more
The Securities and Exchange Commission announced an open meeting to be held on November 2, 2022 to discuss several matters, some proxy related. The SEC will consider whether to adopt new rules and form amendments...more
The DE OFCCP Week in Review (WIR) is a simple, fast and direct summary of relevant happenings in the OFCCP regulatory environment, authored by experts John C. Fox, Candee Chambers and Jennifer Polcer. In today’s edition, they...more
The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting on Thursday, March 11, 2021. The meeting will begin at 10:00 a.m. EST and will be a webcast. ...more
The Securities and Exchange Commission recently announced that its Small Business Capital Formation Advisory Committee will hold a public meeting on January 29, 2021. The meeting will be held by videoconference, and open to...more
The Securities and Exchange Commission has announced an open meeting on November 2, 2020 to consider amendments relating to the exempt offering framework. The SEC had released proposed amendments for public comment in March...more
The Securities and Exchange Commission announced it will hold an open meeting on August 26, 2020. The SEC will consider key amendments, including: amendments to Regulation S-K in connection with business, risk factors and...more
The SEC has gathered its guidance in a single location. Topics covered include: (a) The SEC’s own Business Continuity Plan (“BCP”) and its implementation; (b) Increased market monitoring and surveillance...more
On September 25, 2019, the Securities and Exchange Commission will hold an open meeting to consider a number of topics. The first item on the meeting agenda relates to consideration of whether to propose amendments to Rule...more
On September 5, 2019, the Investor Advisory Committee will hold an open meeting (telephonic) in order to consider and address recommendations regarding the proxy process. On September 19, the Committee will hold an in-person...more
On March 28, 2019, the Securities and Exchange Commission’s Investor Advisory Committee will hold its next meeting, which will be open to the public and webcast. ...more
The Securities and Exchange Commission’s Investor Advisory Committee has released the agenda for its upcoming meeting on September 13, 2018....more