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Auditor Market Share in Micro-Cap IPOs (Jan-Feb 2025)
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White Collar
Federal Court Limits SEC's Access to Client Identities in Law Firm Cyberattack Case
After a law firm fell victim to a cyberattack, the U.S. Securities and Exchange Commission (SEC) issued a subpoena demanding various pieces of information, including the identities of clients poten...
White Collar
SEC’s Novel Unregistered Dealer Theory Creates New Risks for Securities Market Participants – Steps to Mitigate Exposure
A recent federal court decision granting summary judgment to the Securities and Exchange Commission (SEC) in an unregistered securities dealer enforcement action sent shockwaves through the financi...
White Collar
Navigating Whistleblower Complaints: Best Practices and Pitfalls for Companies
Whistleblowers have become increasingly integral to financial regulatory enforcement efforts in recent years. Both the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Com...
Corporate Finance
Understanding Accounts Receivable Monetization: Factoring vs. Asset-Based Lending
White Collar
SEC's Expansive Broker-Dealer Enforcement Under Fire: An In-Depth Examination
A high-profile Freedom of Information Act (FOIA) lawsuit brought by law firm Gibson, Dunn & Crutcher against the Securities and Exchange Commission (SEC) has thrown an intense spotlight on conc...
Securities
A New Era for Microcap Companies: The Impact of the 2023 Amendments to the Delaware General Corporation Law on Stock Splits
The proposed 2023 amendments to the Delaware General Corporation Law (DGCL) are poised to revolutionize the corporate landscape, particularly for microcap companies. These amendments, which aim to ...
Securities
The SEC's Charges Against Former MusclePharm Executives: Implications for Microcap Markets
On June 27, 2023, the Securities and Exchange Commission (SEC) filed a settled complaint against former executives of MusclePharm Corp., a Las Vegas-based nutritional supplement company. The charge...
Securities
Digital Securities Get Green Light for OTC Markets Trading: FINRA Approval Announced
As the wave of regulatory scrutiny from the SEC intensifies against the world of cryptocurrencies, including substantial legal actions against giants such as Binance, the world's leading crypto ass...
Corporate Finance
Navigating the Complexities of Financing Related Provisions in Acquisition Agreements
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