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The US Supreme Court Opinion in Goldman Sachs v. Arkansas Teacher Retirement System

by on Financial Services. Published August 11th, 2021

Revisiting evidentiary issues and the Basic presumption in inflation-maintenance cases Two questions significant to securities laws’ jurisprudence were recently teed […]

SEC Settles Investigation of Broker-Dealer for SAR-Related Violations

by on Compliance. Published August 4th, 2021

On May 12, 2021, the Securities and Exchange Commission issued a media release announcing a settlement with a Colorado affiliate […]

Emerging Issues in Intellectual Property Law: 2021

by on Compliance. Published August 4th, 2021

Trending IP Topics: An expanded interpretation of fair use, the possible weakening of patent protections for vaccine makers, and relief […]

The Repeal of the Controversial True Lender Rule

by on Compliance. Published July 28th, 2021

We have written about the “True Lender Rule” many, many, many times. The rule was the US Office of the […]

DOJ Probe of Fintech PPP Lenders Highlights the Need for Compliance Risk Management Enhancements

by on Compliance. Published July 14th, 2021

Recently, Reuters reported that Kabbage Inc. and other fintech firms have been targeted in an investigation led by the civil […]

White House Focuses FSOC Regulators on Climate Change Risks in Banking

by on Compliance. Published June 25th, 2021

Recently, the Biden Administration took another step toward incorporating environmental risk analysis into all financial institution oversight. The new executive […]

House Happenings: Update on Financial Services Legislation

by on Compliance. Published June 24th, 2021

The U.S. House of Representatives recently passed seven bills related to banking and financial services. The one that is likely […]

The FDIC’s Proposed Rule Banning Non-Bank Entities & Private Individuals from Misleading Representations About Deposit Insurance

by on Compliance. Published June 16th, 2021

Last month, the Federal Deposit Insurance Corporation (FDIC) issued a notice of proposed rulemaking and request for information entitled “False […]

Why Going Private Can Be an Attractive Option for Struggling Companies

by on Firm News. Published June 9th, 2021

As the economy regains strength, some public companies are using privatization to add value and stay solvent  Key takeaways: Going […]

The Rise of Fintech Highlights the Need for an Innovative Regulatory Framework

by on Financial Services. Published May 19th, 2021

While sensible regulatory oversight of fintech is necessary, over-regulation can have a chilling effect on innovation and pose significant barriers […]