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In this issue, we discuss the SEC Examinations Division’s risk alert regarding compliance with the Advisers Act Marketing Rule, and recent enforcement actions involving, among other thi...
On April 19, 2024, the U.S. Court of Appeals for the Ninth Circuit affirmed the dismissal of a putative securities class action. The plaintiff’s complaint relied heavily on allegations...
On April 23, 2024, the Federal Trade Commission finalized its rule banning almost all non-competes in employment agreements. The final rule includes limited exceptions for existing non-c...
The DOJ Criminal Division announced a new individual self-disclosure pilot program designed to “up the ante” on companies calculating the risk of not disclosing misconduct. The progr...
In Macquarie Infrastructure Corp. v. Moab Partners, L.P., the Supreme Court held that an issuer’s nondisclosure of information required by Item 303 of Regulation S-K cannot support a cl...
A proposed rule from Treasury continues CFIUS’s focus on investigation and enforcement and tightens the timelines when negotiating mitigation agreements with CFIUS.
As the use of generative artificial intelligence becomes ubiquitous, it is critical for companies to learn to recognize and avoid common traps associated with AI. The hazards range from u...
The courts rejected arguments that the Federal Reserve Banks are required to grant master accounts to all legally eligible depository institutions. We analyze the rulings and their broade...
On March 25, 2024, a Ninth Circuit panel affirmed the dismissal of a putative securities class action alleging that a biopharmaceutical company misled the public in May 2020 about the dev...