Free Writings + Perspectives

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Up-C IPOs and Tax Receivable Agreements Up-C IPOs and Tax Receivable Agreements

SEC Updates Guidance on the Use of… SEC Updates Guidance on the Use of Lock-Up Agreements in Rule 145(a) Transactions

Treasury Markets Trading and Clearing Treasury Markets Trading and Clearing

Securities litigation and enforcement

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Carbon Credits Manipulation : An… Carbon Credits Manipulation : An Increased Scrutiny Over Fraud in a Booming Industry Could Cross the Canadian Border

A moral obligation to self-disclose a… A moral obligation to self-disclose a corporate wrongdoing: what does it entail for solicitor-client privilege?

False or Misleading Public Statements… False or Misleading Public Statements Made by Reporting Issuers in the Tech Industry

Securities Litigation and Regulatory Enforcement

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SEC and DOJ Charge Founder and Promoters… SEC and DOJ Charge Founder and Promoters of “HyperFund” with $1.7 Billion Crypto Pyramid and Ponzi Scheme

Judge Rules That Terraform’s Crypto… Judge Rules That Terraform’s Crypto Assets Are Securities

SEC Charges Real Estate Fund Adviser… SEC Charges Real Estate Fund Adviser with Misappropriating $35 Million and Later Manipulating the Market in a Fake Tender Offer to Acquire WeWork

SEC Actions

Latest

Iron Condor Options Strategy – Key to… Iron Condor Options Strategy – Key to An Offering Fraud

Pharma Executives Conceal FDA… Pharma Executives Conceal FDA Recommendation Not to File For Approval

This Week In Securities Litigation (Week… This Week In Securities Litigation (Week of March 17, 2025)

Andrew Abramowitz, PLLC

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Heads-Up for the Corporate Transparency… Heads-Up for the Corporate Transparency Act

Remote Work – Post-Pandemic Update of… Remote Work – Post-Pandemic Update of an Old Post

Tips on Limiting Liability for Passive… Tips on Limiting Liability for Passive Investors in Private Companies

FCPA Professor

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FCPA Institute – Zoom (April 8-10) FCPA Institute – Zoom (April 8-10)

Do They Know? Do They Even Care? Do They Know? Do They Even Care?

Smartmatic Executives Seek An Extension… Smartmatic Executives Seek An Extension Of Pre-Trial Deadlines Due To Executive Order

Insurance Innovation Watch

Oil and Gas Fraud Lawyer Blog

Latest

When the Investment Scammer Provides… When the Investment Scammer Provides Clues, Listen

Investment Fraud: Understanding Your… Investment Fraud: Understanding Your Rights and Finding Hope

Ponzi Scheme Entices 2,000 Investors… Ponzi Scheme Entices 2,000 Investors with over $336 Million Invested

IM Insights

Investigations and Enforcement Blog

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We Are Moving “Investigations &… We Are Moving “Investigations & Enforcement Blog” to a New Web Platform

Disruptive Technology Strike Force: Year… Disruptive Technology Strike Force: Year in Review

Asia Pacific 2023 Anti-Corruption… Asia Pacific 2023 Anti-Corruption Rankings: Transparency International’s CPI and the TRACE Bribery Risk Matrix

Life Sciences Securities Litigation

Federal Securities Law Source

Latest

Take charge of compliance: Ensure your… Take charge of compliance: Ensure your business meets Federal Corporate Transparency Act reporting requirements

Deadline approaching for public… Deadline approaching for public companies to adopt Dodd-Frank clawback policies

House votes to expand access to… House votes to expand access to accredited investor status

Elizabeth L. Carter Blog

Latest

Chicago-Based Community Investment Funds… Chicago-Based Community Investment Funds Making a Difference

Digital Assets and Crowdfunding: How… Digital Assets and Crowdfunding: How This Relates to Investor Status

Could SEC mandating ESG disclosures harm… Could SEC mandating ESG disclosures harm Black businesses?

Public Chatter

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Filing Fee Tables Must Be iXBRL Tagged Filing Fee Tables Must Be iXBRL Tagged

Midyear Update on the Corporate… Midyear Update on the Corporate Transparency Act

The SEC’s Climate Rules: Item… The SEC’s Climate Rules: Item 1502(e)’s Transition Plan Disclosure (Including Annual Progress)

Enforcement Highlights

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SEC Examinations 2022 Priorities: Reg… SEC Examinations 2022 Priorities: Reg BI, ESG, Private Funds, Information Security & Operational Resiliency, and Crypto

FINRA Wades into the Controversial… FINRA Wades into the Controversial Deep-End of CCO Supervisory Liability

The SEC Sues Investment Advisory Firm in… The SEC Sues Investment Advisory Firm in Connection with Alleged Failure to Disclose Revenue Sharing and Other Financial Conflicts, as Well as Converting Clients to Wrap Accounts Without Considering Whether it is in Clients’ Best Interests