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After receiving board approval to buy back stock under a 10b5-1 plan, a company interpreted Rule 10b5-1 in a manner with which the SEC disagreed. The SEC did not allege that the company t...
The Consumer Financial Protection Bureau (CFPB) proposed its long-awaited rule to implement Dodd-Frank Section 1033’s requirements regarding consumer rights to access financial informat...
The reporting requirements under FinCEN’s Beneficial Ownership Information Reporting Rule will go into effect on January 1, 2024. As the effective date approaches, FinCEN has issued a n...
The Financial Stability Oversight Council (FSOC) revised its interpretive guidance and analytic framework for FSOC’s authority to designate nonbank financial companies for Federal Reser...
Rule 21 of the Takeover Code regulates the actions a target can and cannot take in order to ensure offers or possible offers for it are not frustrated. In keeping with its practice of rev...
FinCEN released a proposed rule that would identify international convertible virtual currency mixing as a class of transactions of “primary money laundering concern” – a designatio...
Governor Newsom has signed the Voluntary Carbon Market Disclosures Act, a law intended to combat “greenwashing” by requiring disclosure on net zero, carbon neutrality and emissions re...
OFAC issued general licenses providing for a limited and possibly temporary suspension of certain Venezuela sanctions in response to an agreement between the Maduro regime and opposition ...
On October 17, 2023, CFTC Director of Enforcement Ian McGinley signaled a more aggressive approach by the agency in new enforcement guidance addressing penalties, admissions, the impositi...