Developments in Securities Regulation, Corporate Governance, Capital Markets, M&A and Other Topics of Interest. MORE
Litigation
“True Lender” Litigation on the Rise: Recent Litigation and Enforcement Actions Challenge Traditional Bank Partnership Model
By Zane Gilmer on
Fintech Company Subject to SEC Enforcement Action for Exceeding Rule 701 Option Grant Limit
By Steve Quinlivan on
Director Discretionary Compensation Awards Tested by Entire Fairness Standard According to Delaware Supreme Court
By Steve Quinlivan on
SEC Brings Enforcement Action for Inadequately Documented Perks but Does Not Impose Penalty
By Steve Quinlivan on
SEC Busts Fraudulent Initial Coin Offerings
By Steve Quinlivan on
CFTC Files Its First Anti-Fraud Enforcement Action Involving Bitcoin
By Steve Quinlivan on
Duka Beats Fraud Charge in SEC Administrative Court
By Steve Quinlivan on
Minnesota Supreme Court Rejects Delaware Test for Direct Versus Derivative Action
By Steve Quinlivan on
SEC Charges Chief Compliance Officer for Failure to Verify Information
By Steve Quinlivan on