Compliance

  • September 10, 2026

    Bankman-Fried Asks Justices To Review His Fraud Conviction

    Incarcerated FTX founder Sam Bankman-Fried urged the U.S. Supreme Court on Thursday to review the Second Circuit's decision affirming his fraud conviction and $11 billion forfeiture order, saying now is the time to resolve whether evidence of fraud victims' losses belongs in fraudulent-inducement prosecutions and whether his "crushing fine" is constitutional.

  • September 10, 2026

    Princeton Must Face Title IX Claim Tied To Gender Bias

    A New Jersey federal judge refused to end a former Princeton University student's claims stemming from his expulsion after an investigation into his ex-romantic partner's allegations of violence, finding that a jury could conclude that gender played a role in the outcome.

  • September 10, 2026

    Treasury Clearinghouse's Stress Fund Delayed By SEC Review

    The U.S. Securities and Exchange Commission said Thursday it needs more time to determine whether an agency that clears U.S. Treasury securities can set up a new fund to mitigate against member bankruptcy, with smaller brokerage firms complaining they would be forced to foot the bill for the clearinghouse's largest members.

  • September 10, 2026

    FERC Chair Maintains Push To Fast-Track Gas Pipeline Work

    Federal Energy Regulatory Commission Chairman Laura Swett on Thursday lauded the agency's efforts to speed up permitting of gas infrastructure, and emphasized that projects that won't have major impacts on pipeline operations or ratepayers shouldn't be subject to unnecessary additional scrutiny.

  • September 10, 2026

    RJ Reynolds Wants In On Suit Over FDA Vape Review Rule

    Vape and nicotine pouch subsidiaries owned by Altria and R.J. Reynolds are looking to upend the U.S. Food and Drug Administration's premarket authorization rule, claiming the agency is breaking the law by dragging out product reviews well past the statutory deadline, which delays their goods by years while illegal Chinese products flood the market.

  • September 10, 2026

    Regulators Expand Examination Cycle For More Banks

    Nearly 200 banks may receive some relief from annual regulatory exams under a new interagency rule published Thursday that amends the eligibility requirements for an 18-month on-site examination cycle, instead of 12 months.

  • September 10, 2026

    Feds' Cut To NY Funding In CDL Fight Justified, 2nd Circ. Told

    The Trump administration has told the Second Circuit that it's well within its rights to penalize New York by withholding $74 million in highway funds over the state's failure to revoke commercial driver's licenses that were issued to ineligible foreign drivers.

  • September 10, 2026

    OpenAI Faces Senate Probe Into Hugging Face Breach

    Members of a U.S. Senate Homeland Security & Governmental Affairs subcommittee Wednesday sent letters to OpenAI CEO Sam Altman seeking answers about the company's artificial intelligence models breaching Hugging Face's security. 

  • September 10, 2026

    Boutique Bellementis Brings On Ex-FINRA Enforcer

    A former senior Financial Industry Regulatory Authority enforcement attorney has joined the boutique firm Bellementis PLLC as a partner in Washington, D.C.

  • September 10, 2026

    DC Circ. Upholds SEC Denial Of Whistleblower Award

    The D.C. Circuit ruled Wednesday that a man who tipped off a journalist about a possible foreign bribery scheme is not entitled to a whistleblower award because he waited until a U.S. Securities and Exchange Commission investigation was well under way to present the same information to the agency.

  • September 10, 2026

    DOJ Says Records Act Chills 'Candid' White House Advice

    The Justice Department urged the D.C. Circuit to vacate a lower court's order requiring the White House to comply with the Presidential Records Act, arguing in a new brief that the 1978 statute intrudes on executive power by requiring preservation of a wide range of documents.

  • September 10, 2026

    Latest Crypto Bill Draft Updates DeFi Rules But Not Ethics

    Sen. Cynthia Lummis, R-Wyo., on Thursday shared an updated draft of the Clarity Act that tweaked the crypto market structure bill's provisions around decentralized finance but left unaltered ethics language critical to winning Democrat support ahead of next week's cloture vote.

  • September 10, 2026

    Fed Colluded With Wall Street On New Capital Rules, Suit Says

    The Federal Reserve Board and its vice chair for supervision, Michelle Bowman, were sued on Thursday by Wall Street reform group Better Markets Inc., which alleges Bowman secretly met with the heads of Wall Street giants to manipulate the newly proposed U.S. bank capital rules.

  • September 10, 2026

    SEC Must Police Some Event Contracts: Citadel Securities

    Citadel Securities told federal derivatives and securities regulators that the U.S. Securities and Exchange Commission should take the lead on oversight of event contracts and other wagers when they're linked to public companies or equities.

  • September 10, 2026

    Dompé To Pay $32M Over Foundation Co-Pay Kickback Claims

    The U.S. arm of Italian pharmaceutical company Dompé Farmaceutici SpA has agreed to pay $32 million to resolve allegations that it contributed funds to patient assistance foundations to induce purchases of its prescription eye drops Oxervate, the U.S. Department of Justice announced Thursday.

  • September 10, 2026

    States Press Court To Block DOT's CDL Data Request

    A Virginia federal judge on Thursday questioned the Trump administration's claim that the Federal Motor Carrier Safety Administration's chief counsel wasn't speaking for the agency itself when she told a nationwide commercial driver database operator to either hand over millions of driver files or see its federal funding slashed.

  • September 10, 2026

    Network Group Worries FCC Regs Could Hinder AI Growth

    A group advocating for networks that power artificial intelligence has voiced concern that the Federal Communications Commission's latest push to restrict foreign equipment could hinder AI's growth.

  • September 10, 2026

    DOJ Wants To Quash Apple's Look At Fed Phone-Buying

    The U.S. Department of Justice is asking a New Jersey federal court to overrule an order in the government's monopolization case giving Apple a look at how the Pentagon, CIA, U.S. Department of State and other agencies purchase smartphones and smartwatches.

  • September 10, 2026

    Executive Privilege Questions Cloud Congressional Probe Prep

    As corporate leaders brace for the possibility of Democrats retaking control of Congress and launching aggressive investigations into the Trump administration's dealings with a vast array of companies, attorneys say a U.S. Justice Department opinion on executive privilege could complicate the probes.

  • September 10, 2026

    Fla. AG Pushes Liability For Chatbots' Role In Crimes

    Florida's attorney general — who has accused OpenAI of facilitating a deadly mass shooting at Florida State University — is now pushing for legislation that would impose heavy fines, payments to victims and monitorship on tech companies whose artificial intelligence chatbots participate in criminal activity.

  • September 10, 2026

    Greenberg Traurig Sued Over Ex-Pharma CEO's Indictment

    Greenberg Traurig LLP devised the very business practices that got a former pharmaceutical CEO indicted for fraud and then billed the executive $1.4 million for defending the criminal case, according to a legal malpractice suit accusing the firm of an inherent conflict of interest.

  • September 10, 2026

    FCC Looks At Modernizing Rules For Ultra-Wideband Devices

    The Federal Communications Commission could soon modernize its decades-old rules governing ultra-wideband devices, which are used in a wide range of applications including key fobs and ground-penetrating radars in construction work.

  • September 10, 2026

    Mass. Panel Says Liquor Board Can Tailor Licensing Penalty

    A Massachusetts appellate court held Thursday that revoking a wholesale alcohol supplier's license for violating common ownership rules was not mandatory, finding that state law gives regulators leeway to impose a lesser punishment. 

  • September 10, 2026

    FCC Ordered To Answer Petition In Discounted Ads Fight

    The Fourth Circuit has ordered the Federal Communications Commission to answer a petition from a group of Democratic candidates seeking to block an agency action that extended discounted television and radio advertising rates to committees that buy spots in coordination with political candidates.

  • September 09, 2026

    Feds' NY RICO Case Against Huawei Packs A Punch, Jury Told

    The Brooklyn federal jury in the landmark corporate criminal trial of Huawei on Wednesday heard a prosecutor say they'll have an insider's view of the company's vast criminal operations that relied on stolen trade secrets to grow and kept banks in the dark about its sanctions compliance, while a top executive's deal with the government will seal the fate of the Chinese telecommunications giant.

Expert Analysis

  • 6 Key Takeaways From CFIUS Annual Report

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    Attorneys at Simpson Thacher review highlights from the annual report of the Committee on Foreign Investment in the U.S., released to Congress this month, including the launch of the American First Investment Policy and the Known Investor Pilot Program, and the agency's continued focus on enforcement despite its resource constraints.

  • How Drug Trial Prediction Markets Pose Insider Trading Risks

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    Multiple prediction market platforms have recently announced plans to offer event contracts related to clinical trial outcomes and regulatory decisions, creating new insider trading risks by expanding the group of people possessing related material nonpublic information far beyond traditional corporate insiders, say attorneys at King & Spalding.

  • Series

    Law School's Missed Lessons: Surviving A Long Trial

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    Most of law school trial advocacy is geared toward the sprint of trying a short case, but beyond managing a cross-examination or closing argument, effectively handling the marathon of a lengthy trial requires the ability to maintain composure, organization and credibility with the jury, says Mihir Elchuri at Hirschler.

  • AI Chatbot's Medical Claims Highlight Enforcement Risks

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    The Pennsylvania State Board of Medicine's recent lawsuit against Character Technologies, arguing that an artificial intelligence chatbot engaged in the unlicensed practice of medicine, may provide other state licensing boards with a road map for going after AI platforms, and counsel should advise clients to calibrate compliance accordingly, say attorneys at Cooley.

  • Upping Fed, FDIC's Insider Loan Cap May Ease Bank Burdens

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    Coordinated Federal Deposit Insurance Corp. and Federal Reserve proposals to raise the 1970s-era cap for bank executives borrowing from their institutions represent a long-needed regulatory recalibration that would lighten compliance obligations caused by the outdated ceiling without diminishing the original protections against conflicts of interest, say attorneys at Ballard Spahr.

  • What Calif.'s New Focus On Microplastics Means For Cos.

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    The recent move by California's Department of Toxic Substances Control to designate microplastics as candidate chemicals under its Safer Consumer Product regulations does not create a new product restriction — but it expands the agency's future reach by putting microplastics on the department’s regulatory runway, says Gregory Berlin at Alston & Bird.

  • How 2 SEC Financial Report Initiatives May Clash In Practice

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    The Securities and Exchange Commission’s near-simultaneous launch of a new unit to investigate fraud by accounting and audit professionals and its proposal to let public companies file less frequent financial reports sets up possible conflicts for issuers and their financial reporters that demand immediate strategic attention, say attorneys at Bracewell.

  • 7th Circ. Ruling May Reduce Litigation Risk For Text Marketers

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    The recent Seventh Circuit holding in Steidinger v. Blackstone Medical Services that unwanted marketing text messages are not telephone calls under the Telephone Consumer Protection Act may strengthen companies' responses to presuit demand letters and early-stage litigation claims premised on do-not-call text theories, say attorneys at Holland & Knight.

  • Recent OCC Charter Approvals Signal Fintech Momentum

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    The Office of the Comptroller of the Currency's recent charter approval for Circle, along with faster Federal Deposit Insurance Corp. review procedures, signals a more workable path to national bank and trust charters, meaning fintech firms should prepare regulator-ready applications and plan for intensified competition, say attorneys at Davis Wright.

  • Midyear Trends, Takeaways As Securities Class Actions Surge

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    High numbers of securities class actions through June suggest filings will stay elevated, with factors like changing enforcement attitudes, media scrutiny and the proliferation of potential defendants serving as both cause and effect in increased litigation involving AI-related disclosures, health and tech companies, and foreign issuers, say attorneys at Alston & Bird.

  • How Copa América Reshaped Crowd Security Risk Planning

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    Two years after crowds overwhelmed security at the Copa América Final in Florida, the host stadium's updated practices demonstrate a reassessment of the standard of reasonable care for large events, illustrating broader principles that attorneys, venue operators, municipalities, insurers and security professionals should consider, says Joshua Padron at Padron & Lopez-Trigo.

  • Mapping A Compliance Framework For AI Chatbot Operators

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    The Federal Trade Commission's recent artificial intelligence guidance, together with emerging state AI chatbot laws, wiretapping statutes and telecommunications requirements, carry significant implications for consumer-facing chatbot and customer service tool operators that require a layered disclosure framework addressing multiple regulatory touchpoints, say attorneys at Winston Taylor.

  • Fashion Greenwashing Risk Goes From Reputational To Legal

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    Fashion brands now face greenwashing risks that extend beyond reputational damage, with California's extended producer responsibility law taking effect soon, and regulatory enforcement and class actions increasing around terms like "sustainable" and "carbon-neutral" — so companies must ensure their marketing is backed up by evidence, says Benjamin Thompson at Thompson LLP.

  • Bank Charter Denial Offers Road Map For Stablecoin Issuers

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    The Office of the Comptroller of the Currency's recent denial of Wise's bank charter application signals that stablecoin issuers should expect rigorous scrutiny of anti-money laundering controls, governance, management expertise and affiliate compliance history when applying for federal approval, say attorneys at Katten.

  • 3 Ways The SEC's Retail Fraud Reboot Raises The Bar

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    The U.S. Securities and Exchange Commission's recent revival of the retail fraud working group with an expanded mandate, scope and experienced senior leadership points to a stronger incarnation of the task force with concrete implications for firms managing retail-accessible alternative investments, say attorneys at Fried Frank.

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