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On August 3, 2021, Securities and Exchange Commission (“SEC”) Chair Gary Gensler made headlines when he dubbed the current cryptocurrency landscape the “Wild West.”

August 12, 2021
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Insight

On July 30, 2021, Securities and Exchange Commission (“SEC”) Chair Gary Gensler issued a public statement announcing that he has asked SEC staff to require additional disclosures from offshore issuers with ties to China-based operating companies.

August 6, 2021
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Insight

Two separate, recent lines of cases have continued to shape the circumstances under which insider trading prosecutions can be brought, and as a result, the insider trading compliance risks faced by companies. First, the Supreme Court recently denied certiorari in United States v. Kosinski, which held that it can be an insider trading violation for independent contractors to trade stocks based on information made available to them while subject to a confidentiality agreement.

June 17, 2021
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Insight

In this primer, we give an introduction to sustainable finance and take an in-depth look at “Green Bonds,” “Green Loans,” and performance-specific sustainability linked debt instruments.

June 1, 2021
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Insight

On February 16, 2021, the Securities and Exchange Commission (“SEC”) filed a civil complaint against Morningstar Credit Ratings LLC (“Morningstar”), a credit rating agency, alleging violations of the disclosure and internal controls provisions of the federal securities laws based on Morningstar’s ratings of commercial mortgage-backed securities (“CMBS”).

February 24, 2021
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Insight

The Financial Industry Regulatory Authority (“FINRA”) recently released its annual Risk Monitoring and Examination Activities Report (the “Report”).

February 10, 2021
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Insight

To settle enforcement matters, the U.S. Securities and Exchange Commission (“SEC”) often seeks to require non-monetary conditions on top of civil monetary penalties from companies that have allegedly violated federal securities laws.

February 4, 2021
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Insight

On January 1, 2021, the National Defense Authorization Act (NDAA) for Fiscal Year 2021 became law. Section 6501 of the NDAA includes amendments to the Securities Exchange Act of 1934 (the “Exchange Act”), expanding the Securities and Exchange Commission’s (the “SEC”) ability to obtain disgorgement and other equitable relief in cases involving securities fraud.

January 13, 2021
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Insight

On November 30, 2020, shareholders in Pinterest, Inc. filed a derivative lawsuit in the Northern District of California against Pinterest and nine of its officers and directors.

December 9, 2020
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Insight

A recent decision out of the Southern District of Florida highlights the importance of businesses taking an expansive approach when considering whether to register as a broker dealer and the applicability of other requirements under the federal securities laws …

September 23, 2020
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Insight

The global coronavirus pandemic has brought confusion and uncertainty to just about every aspect of life, but one thing remains constant: following a dramatic drop in stock price, an issuer’s public statements will be scrutinized, and securities litigation may follow.

June 23, 2020
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Insight

In early June, federal agencies brought some of the first enforcement actions against COVID-19 securities fraudsters, involving over $100 million in fraudulent claims and profits, making good on their promise to investigate and prosecute those seeking to fraudulently capitalize on the COVID-19 crisis.

June 18, 2020