The Micro-Cap IPO marketplace started 2023 on a strong note, as 23 issuers successfully conducted their initial public offerings (IPOs) in the first quarter (Q1). Despite some variations in compari...
This article discussed the Financial Crimes Enforcement Network's (FinCEN) proposed beneficial ownership reporting requirements for private companies. This proposal was put forward in December 2021...
The Securities Industry and Financial Markets Association (SIFMA) recently hosted its Compliance & Legal Annual Seminar for 2023 in San Diego. The event, a cornerstone for legal and compliance ...
In a recent session at the ABA White Collar Crime Conference, key figures from the Department of Justice (DOJ), Securities and Exchange Commission (SEC), U.S. Attorney's Office for the Southern Dis...
The Securities and Exchange Commission (SEC) introduced significant amendments to the 15c2-11 rules back in September 2020. The revised regulations, better known as the 211 rules, came into force o...
The U.S. Securities and Exchange Commission (SEC) pursues an extensive rulemaking agenda each year that shapes the regulatory landscape for public companies, investment firms, advisors and brokers ...
As we move forward in 2023, we are witnessing a digital revolution that is redefining the financial landscape. At the forefront of this revolution are digital assets, which include cryptocurrencies...
In an era where technology is deeply integrated into the workplace, New York has taken a significant step to protect employee privacy. Effective from May 7, 2022, New York's newly enacted statute, ...
Insider trading remains among the top enforcement priorities for both the U.S. Securities and Exchange Commission (SEC) and Department of Justice (DOJ). Major insider trading prosecutions often gra...
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