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Garland Memo May Provide White Collar Defendants Increased Opportunity for Negotiation While Updated Corporate Enforcement Policy Highlights the Importance the Department of Justice Places on Self-Disclosure, Cooperation, and Remediation
February 2, 2023 | Blog | By Eoin Beirne, Edmund P. Daley, Nick A. LaPalme
Priorities, Priorities – FINRA Publishes Its Annual Report of Focus Areas for 2023
February 1, 2023 | Blog | By Michael Pastore
Recent First Circuit Opinion in SEC v. Lemelson Provides a Roadmap for Section 10(b) Cases Involving an Opinion Defense
January 20, 2023 | Blog | By Joel Rothman, Elizabeth M. Platonova
Coinbase Reaches $100 Million Settlement with NYS Department of Financial Services Over Anti-Money Laundering Compliance Failures
January 6, 2023 | Blog | By Cory S. Flashner, Edmund P. Daley, Christopher D'Aliso
Caremark Liability Following the SEC’s New ESG Reporting Requirements
December 16, 2022 | Blog | By Jacob Hupart, Doug Baumstein, Jonathan L. Kravetz, Ellen Shapiro, Will G. McKitterick
FINRA to Examine Broker-Dealer Crypto Communications
December 1, 2022 | Blog | By Cory S. Flashner, Edmund P. Daley, Christopher D'Aliso
SEC Adopts New Incentive-Based Compensation "Clawback" Rule
November 30, 2022 | Blog | By Patrick E. McDonough, Xandy Walsh
“We lost. Sorry everyone”: The Implications of a District Court Finding Digital Token, LBC, Is a Security
November 21, 2022 | Blog | By Ellen Shapiro, Will G. McKitterick, Sofia Nuño
RIAs Beware: The Pitfalls When Going Straight To The (Out)Source
November 3, 2022 | Blog | By Michael Pastore, Edmund P. Daley
It Gets BIgger: FINRA Joins the SEC In Bringing Reg BI Enforcement Actions
October 21, 2022 | Blog | By Pete Michaels, Alyssa C. Scruggs
Significant Unruh Act and ADA Website Accessibility Ruling from the California Court of Appeal
August 23, 2022 | Blog | By Todd Rosenbaum, Adam B. Korn, Macklin W. Thornton
Regulator Turf Battles & Twitter Sleuths - Takeaways from the insider trader tipping scheme against a former Coinbase Employee
July 22, 2022 | Blog | By Cory S. Flashner, Edmund P. Daley
What Public Comments on the SEC’s Proposed Climate-Related Rules Reveal—and the Impact They May Have on the Proposed Rules
July 20, 2022 | Blog | By Jacob Hupart, Megan Gates, William F. Weld, Doug Baumstein, Jennifer Rubin, Will G. McKitterick
This article provides a brief summary of the public comments submitted to the SEC regarding the Commission's proposed climate-related rules, and analyzes and summaries the key points the comments conveyed.
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SEC Proposes Regulations to Address “Greenwashing” By Investment Funds
June 13, 2022 | Blog | By Jacob Hupart, Megan Gates, Doug Baumstein, Pete Michaels, William F. Weld, Thomas R. Burton, III, Sahir Surmeli
In this article, Mintz attorneys explore the SEC's recently issued proposed regulations on "greenwashing" and how the rules would effect investment advisers and investment companies if implemented.
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“Insider Trading” or “Wire Fraud”: A Closer Look at the Charges Facing a Former OpenSea Employee and What We Can Learn From It
June 3, 2022 | Blog | By Cory S. Flashner, Edmund P. Daley
Could A Bored Ape + CryptoPunk + ApeCoin = A Security?
March 18, 2022 | Article | By Edmund P. Daley, Cory S. Flashner, Frank Gerratana
Minimizing Stockholder Litigation Risks
February 18, 2022 | Blog
In 2021, approximately on quarter of all federal securities fraud class action lawsuits filed nationwide were against life sciences companies and their officers and directors. These considerations are for directors and officers of life sciences companies looking to manage disclosures and mitigate risk before a suit ever gets filed.
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DOJ Tells Cybercriminals, “If you continue to come for us we will come for you” and Warns Companies to Keep Their “Cyber Shields Up”
February 18, 2022 | Blog | By Cory S. Flashner, Edmund P. Daley
The U.S. Department of Justice (DOJ) recently announced new efforts to combat constantly evolving cyber threats including the “explosion of ransomware and the abuse of cryptocurrency” and issued a warning to companies, advising them to heighten their defenses against cybercriminals and ransomware.
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Court Issues Highly Anticipated Decision Regarding the Treatment of SPAC Sponsors and Directors
January 10, 2022 | Blog | By John Sylvia, Patrick E. McDonough
SCOTUS Finds While Defendants Carry the Burden of Proof in Overcoming Basic’s Presumption of Reliance, Defendants May Address the Generic-Nature of Alleged Misstatements at the Class Certification Stage
June 23, 2021 | Blog | By Patrick E. McDonough, Ellen Shapiro
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