This article delves into the intricacies of the SEC's whistleblower program, its ramifications for corporate entities, and the hurdles that compliance frameworks are currently grappling with.
Direct listing regulations continue to undergo revisions, the most recent of which is a rule change by Nasdaq approved on December 2, 2022. Although the Exchange has been striving to make the proce...
Commencing on June 3, 2023, the Financial Industry Regulatory Authority (FINRA) will introduce changes to the procedure for submitting a Company-Related Action Notification form. This form initiate...
On May 5, 2023, the U.S. Securities and Exchange Commission (SEC) made an unprecedented move by granting a single whistleblower an award of $279 million. This staggering amount not only marks the l...
As we reach the halfway mark of 2023, it's an opportune time to review the most impactful securities litigation events and trends so far this year. The first half of 2023 witnessed major SEC enforc...
As we march further into 2023, the question of affordable housing continues to weigh heavily on policy discussions worldwide. One tool frequently employed by governments to address this issue is th...
In a groundbreaking move on April 20, 2023, the U.S. Department of Justice (DOJ) unveiled criminal indictments against 18 individuals across nine federal jurisdictions, accusing them of orchestrati...
On April 13, 2023, Senator Chuck Schumer, the Majority Leader of the U.S. Senate, unveiled an ambitious plan to regulate artificial intelligence (AI) through a four-pronged framework. This announce...
Insider trading enforcement has been robust in 2022, with the Department of Justice, Securities and Exchange Commission, and Commodity Futures Trading Commission bringing numerous high-profile case...
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