United States: Securities

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Liquid Staking Clears The Howey Hurdle

The Securities and Exchange Commission's (SEC) Division of Corporation Finance issued a staff statement expressing its views that certain liquid staking activities fall outside the federal securities laws.

United States Technology

KM

Katten Muchin Rosenman LLP

A CAT-astrophic Funding Model? Court Sends SEC Back To The Drawing Board

The US Court of Appeals for the Eleventh Circuit recently vacated the Securities and Exchange Commission's 2023 funding order for the Consolidated Audit Trail, stayed its decision for 60 days, and remanded the matter to the SEC for further proceedings.

United States Finance

KM

Katten Muchin Rosenman LLP

SEC Updates Eighth Circuit On Climate Disclosure Rules

On July 23, 2025, the Securities and Exchange Commission ("SEC") provided a status update on the SEC's climate disclosure rules in the litigation currently pending in the U.S.

United States Commercial

GP

Goodwin Procter LLP

REMINDER: Enroll In EDGAR Next By September 12th

As a reminder, in 2024, the SEC adopted amendments to the rules and forms related to its EDGAR filing system that will impact the way all filers access and manage their EDGAR...

United States Commercial

SR

Schulte Roth & Zabel LLP

Compliance Deadlines To Implement Significant Amendments To Regulation S-P Are Fast Approaching: Key Implications For Covered Institutions (Including Brokers And Investment Advisors) And Recommended Considerations

United States Commercial

LS

Lowenstein Sandler

FINRA Charges Broker-Dealer With Misleading Consumers About Crypto Sales

United States Technology

GA

Global Advertising Lawyers Alliance (GALA)

FINRA Charges Broker-Dealer With Misleading Consumers About Crypto Sales

United States Technology

FK

Frankfurt Kurnit Klein & Selz

Eastern District Of Pennsylvania Dismisses Putative Class Action Against Biotechnology Company For Failure To Adequately Allege Materiality Or Falsity

United States Commercial

AO

A&O Shearman

Initial Public Offerings Laws And Regulations 2025 – USA

United States Commercial

ML

Milbank LLP

Sustainable Energy & Infrastructure Litigation Updates — August 2025

United States Commercial

M

Mintz

GENIUS Act Establishes Legal Framework For Payment Stablecoins

United States Technology

BG

Braumiller Law Group, PLLC

United States Technology

LS

Lowenstein Sandler

SEC Feels The Heat

United States Commercial

HK

Holland & Knight

D.C. Circuit Invalidates SEC's Proxy Advisor Disclosure Rule, Finding Proxy Advisory Voting Advice Is Not "Solicitation"

United States Commercial

CG

Cahill Gordon & Reindel LLP

Is The Economy Shifting? Ankura's July 2025 U.S. Economic Tracker Reveals Key Trends

United States Strategy

AC

Ankura Consulting Group LLC

Bridging Cultures, Avoiding Disputes: Why Construction Needs Partnering Dialogue More Than Ever

United States Litigation

J

JAMS

Summary - Tax Provisions In The One Big Beautiful Bill

United States Tax

HE

Hall Estill

ALERT: Key Tax Provisions Provided For In "One Big Beautiful Bill Act"

United States Employment

DP

Dilworth Paxson LLP

Workplace Violence: Why Employers Can't Afford To Ignore The Warning Signs

United States Employment

OK

Offit Kurman

Here We Go Again - Risk Factors And Other Reminders For Upcoming Quarterly Reports

In April, companies were faced with addressing the impacts of tariffs and a global trade war, as discussed in our April 8, 2025 post. Companies now find themselves...

United States Commercial

BC

Bryan Cave Leighton Paisner

SEC Cites Falsified Compliance Records In Two Recent SEC Settlements With CCOs

Two SEC enforcement actions from earlier this month, each including charges against a firm's Chief Compliance Officer in their personal capacity...

United States Commercial

PR

Proskauer Rose LLP

(Insider) Trading Under A Rule 10b5-1 Plan

In June 2025, Terren Scott Peizer, the former chief executive officer, executive chairman and chairman of the board of directors of Ontrak, Inc. (Ontrak), was sentenced to 42 months imprisonment...

United States Commercial

BB

Bass, Berry & Sims

Take-Aways From Accountants' Liability 2025 Conference: Navigating The Changing Regulatory Landscape And Risks From Emerging Technologies

While "uncertainty" may have been one of the most frequently used words by the powerhouse panelists over this two-day event, there was no shortage of deep discussions surrounding the most pressing issues facing auditors...

United States Litigation

SH

Stites & Harbison PLLC

Investigating Decentral Games: BAG, $DG, And ICE Tokens — Open Investor Investigation

United States Technology

Traverse Legal

Artificial Intelligence, Real Liability: The Legal Risks Of "AI-Washing"

United States Technology

CW

Cadwalader, Wickersham & Taft LLP

SEC Approves In-Kind Creations And Redemptions For Crypto ETPs

United States Technology

GT

Greenberg Traurig, LLP

SEC Issues Guidance For Cryptocurrency ETPs

United States Technology

BB

Baker Botts LLP

So, You Want To Join A Public Company Board

United States Commercial

BC

Bryan Cave Leighton Paisner

Recent Trends In Securities Class Action Litigation: H1 2025 Update

United States Commercial

N

NERA

For SEC-Barred Securities Practitioners, Now Is The Time To Seek Reinstatement

United States Commercial

DM

Duane Morris LLP

Digital Currency & Blockchain Quarterly Litigation Update

United States Technology

GP

Goodwin Procter LLP

Eastern District Of Pennsylvania Dismisses Securities Fraud Claims Against Life Insurance Company

United States Commercial

AO

A&O Shearman

Southern District Of New York Dismisses Securities Fraud Claims Against Artificial Intelligence Company

United States Commercial

AO

A&O Shearman

For SEC-Barred Securities Practitioners, Now Is The Time To Seek Reinstatement

In sum, the SEC's recent orders indicate the agency's willingness to not only consider but also grant applicants for reinstatement.

United States Commercial

DM

Duane Morris LLP

Digital Currency & Blockchain Quarterly Litigation Update

Welcome to Goodwin's Digital Currency & Blockchain Quarterly Litigation Update, in which our Chambers-ranked global team of specialists shares highlights and key litigation...

United States Technology

GP

Goodwin Procter LLP

Eastern District Of Pennsylvania Dismisses Securities Fraud Claims Against Life Insurance Company

On July 24, 2025, Judge Jennifer Murphy of the Eastern District of Pennsylvania granted a motion to dismiss a putative securities class action brought against a life insurance company and certain of its officers.

United States Commercial

AO

A&O Shearman

Southern District Of New York Dismisses Securities Fraud Claims Against Artificial Intelligence Company

On July 23, 2025, Judge John P. Cronan of the Southern District of New York granted a motion to dismiss a putative securities class action brought against an artificial intelligence company and certain of its executives.

United States Commercial

AO

A&O Shearman

Dechert Cyber Bits – Issue 79 - July 24, 2025

United States Privacy

D

Dechert

SEC Roundtable On Executive Compensation Disclosure

The Securities and Exchange Commission held a roundtable at the SEC's headquarters in Washington, DC on June 26, 2025 to discuss possible changes to the Commission's requirements...

United States Commercial

M

Mintz

Texas Court Stays CAT Class Action, But Reporting Must Continue

On July 7, Judge Alan Albright of the US District Court for the Western District of Texas granted the Securities and Exchange Commission's (SEC) motion to stay a class action...

United States Finance

KM

Katten Muchin Rosenman LLP

Securities And Exchange Commission (SEC) To Review Eligibility Requirements For Foreign Private Issuers

Latin American companies with securities registered in the United States, or with plans to register securities in the United States, take note. The SEC has issued a "concept release" suggesting measures and seeking...

United States Commercial

PR

Proskauer Rose LLP

FINRA Finalizes SLATE Rule 6540: The Definitive Guide To Securities Lending Transparency Requirements (Effective 2026)

On April 2, 2026, FINRA Rule 6540 under the new SLATE (Securities Lending and Transparency Engine) Rule 6500 Series will take effect, ushering in a new era of regulatory transparency in the securities lending market.

United States Finance

AP

Anderson P.C.

Evergreen Guide: Broker-Dealer Due Diligence Obligations In Regulation D Offerings

United States Commercial

AP

Anderson P.C.

SEC Whistleblower Awards Slow Amid Record Denials And Heightened Scrutiny

United States Employment

AP

Anderson P.C.

Western District Of Pennsylvania Denies Motion For Judgment On The Pleadings In Securities Class Action Against Pharmaceutical Company

United States Commercial

AO

A&O Shearman

Southern District Of California Dismisses Putative Securities Class Action Arising From Failed Business Combination

United States Commercial

AO

A&O Shearman

SEC Names Acting Chair Of The PCAOB

United States Commercial

GP

Goodwin Procter LLP

SEC Signals Broader Access To Private Credit: Opportunities And Risks For A Wider Population Of Investors

United States Commercial

BT

Barnes & Thornburg

The GENIUS Act: Transforming U.S. Stablecoin Regulation

United States Technology

AO

A&O Shearman

Weekly Blockchain Blog – July 21, 2025

United States Technology

B

BakerHostetler

Opinion: If The SEC Calls, Don't Just Call "A Lawyer"

United States Commercial

AP

Anderson P.C.

5 Startup Equity Mistakes And How To Avoid Them

United States Commercial

C

Crowley Law LLC

Global Anti-Corruption Insights: Summer 2025

United States Criminal

AP

Arnold & Porter

Executive Misconduct In The Public Eye: A Legal Framework For Internal Investigations Triggered By Reputational Crises

United States Commercial

AP

Anderson P.C.

GENIUS Act Passes Congress; Big Bipartisan Support For Digital Asset Regulation

United States Technology

MP

Manatt, Phelps & Phillips LLP

Settlement Alert: The Dust Settles In SEC's Cybersecurity Lawsuit Against SolarWinds

United States Technology

HK

Holland & Knight

SEC Scorches New Mexico Investment Advisers For Allegedly Defrauding Elderly Clients

United States Finance

HK

Holland & Knight

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Latest Videos

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S5:E14 | SEC Marketing Rule FAQs | Compliance In Context (Podcast)

CH

Calfee Halter & Griswold

The Class Action Weekly Wire – Episode 104: Key Developments In Securities Fraud Class Actions (Video)

DM

Duane Morris LLP

Securities Docket Weekly Update - March 29 (Video)

AP

Anderson P.C.

Pulse Check: Digital Assets (Video)

B

Bracewell

Block And Tackle: Regulating Skill-Based Blockchain Games (Video)

G

Gamma Law

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