Compliance

  • September 01, 2026

    Calif. Private Fund Execs Charged In $80M Ponzi-Like Scheme

    Executives of a California-based loan origination business and its affiliates were hit with securities violations and criminal charges by the U.S. Securities and Exchange Commission and the U.S. Attorney's Office in federal court over an alleged Ponzi-like scheme that raised over $80 million from unwitting investors. 

  • September 01, 2026

    Watchdog Sues To Unmask Feds' 'Secret' Frontier AI Review

    A nonprofit ethics watchdog accused the Trump administration in D.C. federal court Tuesday of failing to hand over information about the "secret de facto regulatory regime" governing frontier artificial intelligence models.

  • September 01, 2026

    ETF Issuers Urge SEC To Focus On Risk Over Novelty

    Exchanges and issuers urged the U.S. Securities and Exchange Commission to apply existing rules for exchange-traded funds to oversee "novel" offerings holding asset classes like crypto and event contracts, while consumer advocacy groups took a hard line against products referencing sports or election wagers.

  • September 01, 2026

    Rutgers Prof Accused Of Crypto 'Pump And Dump' Scheme

    A cryptocurrency investor alleges a Rutgers University computer science professor used his academic credentials and university affiliation to secure investments in a token whose value has since collapsed, "a classic pump and dump scheme," according to a suit filed in New Jersey federal court.

  • September 01, 2026

    CFTC Drops Swaps Manipulation Claim In Deal With Ex-Trader

    The Commodity Futures Trading Commission on Tuesday wrapped up a long-running enforcement action against a former investment bank managing director, dropping claims that he manipulated swap prices to benefit his bank and settling claims that he destroyed evidence.

  • September 01, 2026

    SEC Sends White House Plan For Retail Private Market Access

    The U.S. Securities and Exchange Commission's Division of Investment Management has submitted to the White House a proposal to help facilitate retail investors' exposure to private markets and enable investment advisers to charge related performance fees, saying it could provide more opportunities for investors looking to diversify their portfolios.

  • September 01, 2026

    High Court Should Skip Ruby Tuesday Benefits Suit, SG Says

    The U.S. solicitor general has urged the Supreme Court to decline to consider a suit from former Ruby Tuesday executives alleging Regions Bank inadequately protected their retirement plan benefits that were liquidated in bankruptcy, saying the "idiosyncratic" nature of the dispute makes it a poor candidate for high court review.

  • September 01, 2026

    High Court Case Looms Over State Climate Superfund Fights

    A federal judge has dealt a blow to the viability of state climate change Superfund laws, although experts say the ruling may ultimately be marginalized by a looming U.S. Supreme Court decision on the future of climate tort litigation against fossil fuel companies.

  • September 01, 2026

    Ex-CEO Of Bankrupt Diamond Co. Hit With SEC Allegations

    The U.S. Securities and Exchange Commission has sued Mordechai Haim Ferder, the ex-CEO of bankrupt Lugano Diamonds & Jewelry Inc., and his wife to recover more than $17.7 million they allegedly reaped through a fraudulent diamond investment scheme via trusts they controlled.

  • September 01, 2026

    DirecTV Says Emergency Alert Symbols Are A Hard Sell

    The Federal Communications Commission's heart was in the right place when it floated the idea of requiring emergency alerts to include visual symbols, but satellite television providers just aren't set up to display those symbols, DirecTV has told the agency.

  • September 01, 2026

    Honeywell Aerospace To Pay $2M In Security Lapses Case

    Honeywell Aerospace Inc. will pay $2 million to settle a False Claims Act suit alleging it failed to provide basic cybersecurity protections for government data under defense contracts it won for quantum-computing services, the U.S. Justice Department announced Tuesday.

  • September 01, 2026

    Lumen Beats $1.4B Pension Swap Suit

    A Colorado federal judge on Tuesday ruled in favor of Lumen Technologies in a class action regarding $1.4 billion in pension obligations transferred to a risky insurance company, saying that plan participants could not show they suffered a current cognizable harm of loss of protections and the threat of impending injury was unconvincing.

  • September 01, 2026

    NY Firm, Clinics Reject FedEx's 'Staged' Crashes Claims

    A New York personal injury firm and various healthcare providers have told a Manhattan federal judge that FedEx has asserted implausible claims alleging they orchestrated an insurance fraud scheme to fabricate medical records and inflate accident claims, saying there is no such racketeering enterprise.

  • September 01, 2026

    Treatment Centers Cited Over Unpaid Work By Patients

    Massachusetts' attorney general on Tuesday announced a first-of-its-kind citation of over $1 million against a faith-based substance use treatment program for allegedly having hundreds of participants perform unpaid work, including landscaping and moving, for businesses.

  • September 01, 2026

    OpenAI's Rogue Agents A 'Warning Shot' For Cos. Everywhere

    OpenAI's recent rogue artificial intelligence incident will likely set the stage for a more widespread expectation that companies using advanced, agentic AI have reasonable protective measures in place, as cyber incidents carried out by AI agents come to be viewed as foreseeable risks.

  • September 01, 2026

    Podcaster's Proxy Betting Claims Rile FanDuel, Regulators

    The Massachusetts Gaming Commission and FanDuel are looking into a recent admission by popular podcast host Bill Simmons that he allowed a proxy to log into his FanDuel account and place bets on his behalf.

  • September 01, 2026

    SEC Plans To Bless Transfer Agents' Blockchain Use

    The U.S. Securities and Exchange Commission is promising sweeping changes to the rules governing transfer agents for the first time in 40 years, issuing a proposal Tuesday that would, among other things, allow agents to utilize the blockchain in tracking securities ownership. 

  • September 01, 2026

    Northwest MLS Settles Compass' Listing Rules Antitrust Suit

    Northwest Multiple Listing Service and Compass Inc. have reached a settlement ending Compass' antitrust lawsuit targeting Northwest MLS' policy requiring brokerages to list all properties on its platform before marketing them elsewhere, with the listing service announcing Monday that it will introduce a new "first look" status as part of the deal.

  • September 01, 2026

    Monthly Merger Review Snapshot

    Paramount Skydance and Warner Bros. Discovery pressured state attorneys general challenging their merger to settle, the Federal Trade Commission successfully challenged a construction adhesives tie-up, state officials waded in against the NextEra-Dominion transaction, and Union Pacific Corp. and Norfolk Southern Corp. defended their combination under review by federal regulators.

  • September 01, 2026

    Congress Approves Bill Delaying Hemp Ban One Month

    The U.S. House of Representatives gave final approval Tuesday to a stopgap spending bill which includes language to delay implementation of a federal ban on products containing hemp-derived THC by one month.

  • September 01, 2026

    3 Things To Know: Texas Judge Halts Abortion Drug Suit

    A Texas federal judge has paused a lawsuit challenging the U.S. Food and Drug Administration's approval of abortion medication mifepristone until after the agency has conducted a safety review of the drug. Law360 Healthcare Authority has what you need to know about that order and the legal landscape.

  • September 01, 2026

    Blumenthal Probes Claims USPS Defied Ballot Mail Orders

    Sen. Richard Blumenthal of Connecticut, the top Democrat on the Senate investigations subcommittee, questioned the postmaster general on Tuesday on claims that the U.S. Postal Service defied a court order by continuing to implement the president's executive order restricting vote-by-mail.

  • September 01, 2026

    Justices Asked To Again Tackle SEC Disgorgement

    A Florida-based broker-dealer is petitioning the U.S. Supreme Court to hear another case targeting the disgorgement powers of the U.S. Securities and Exchange Commission, saying the court "left open" a question about victim identification after it last ruled on the issue earlier this year.

  • September 01, 2026

    FCC Pulls Montana Radio License Over Unpaid Fees

    The Federal Communications Commission said Tuesday it was revoking a Montana radio station's license for unpaid regulatory fees going back several years.

  • September 01, 2026

    The Top In-House Hires Of August

    Legal department hires during the past month included high-profile appointments at Anthropic, Zillow and ConocoPhillips. Here, Law360 Pulse looks at some of the top in-house announcements from August.

Expert Analysis

  • How Justices' TPS Ruling Affects Workforce Planning

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    The U.S. Supreme Court’s recent holding in Mullin v. Doe that courts lack jurisdiction to review temporary protected status determinations greenlights the end of TPS for thousands of Syrian and Haitian nationals, and means employers must reevaluate TPS-designees' employability while avoiding discriminatory document practices, says attorney Richard Herman.

  • How State, Local Rules Are Expanding Debt Collection Reach

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    Consumer protection rules recently enacted by several states signal that the rules of debt collection are being rewritten at a pace that should command the attention of every creditor, servicer, debt buyer, collection agency and collection law firm operating across state lines, says Weldianne Scales at Reed Smith.

  • How Nixing Trade-Through Rule Would Alter Equity Markets

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    The U.S. Securities and Exchange Commission's recent proposal to rescind the trade-through rule and the locked-and-crossed-markets prohibition represents one of the most significant potential changes to U.S. equity market structure in two decades, affecting exchanges, broker-dealers, and institutional and retail investors alike, say attorneys at WilmerHale.

  • Lessons On Contingency Planning From OFAC's Iran Reversal

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    The Office of Foreign Assets Control‘s abrupt revocation of a recent license easing sanctions on Iranian oil products shows commercial dealings relying on OFAC licenses or with higher sanctions risks should expressly address what happens if a policy change makes performance prohibited, says Michelle Roberts at Berliner Corcoran.

  • Shopify Settlement Clouds Open-Source Copyright Limits

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    Shopify's confidential copyright settlement with Shopline, which agreed to stop distributing a disputed storefront theme, raises questions about how far copyright law can protect open-source software without undermining the collaboration that drives development, says Lindsey Sasson at Hach Rose.

  • 2 AI Washing Rulings Apply Familiar Securities Fraud Rules

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    Two recent federal court decisions to allow AI washing complaints to proceed begin to clarify the line between nonactionable optimism and actionable misstatements by framing the core issue as not overstating the promise of artificial intelligence, but misrepresenting the current state of a company's products, say attorneys at WilmerHale.

  • The Nuance Between The Atkins, Gensler SEC Strategic Plans

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    U.S. Securities and Exchange Commission Chairman Paul Atkins' recent draft strategic plan is a marked departure from that of former Chair Gary Gensler, portraying an intention to leave decisions to the market rather than steering corporate behavior through expansive disclosure mandates and regulatory enforcement, say attorneys at Cleary.

  • Future Of Fed Independence Shaky After Justices' Ruling

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    The U.S. Supreme Court's recent ruling in Trump v. Cook preserved the Federal Reserve's formal independence but could invite the president to remove board members with just modest protections, leaving the central bank's autonomy uncertain and potentially setting up fresh clashes over other agencies, says Steven Schwinn at the University of Chicago.

  • $100M Clean Air Act Ruling Transforms Parent Co. Liability

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    A Michigan federal court's recent decision in U.S. v. EES Coke Battery, holding a company liable for Clean Air Act violations at a plant owned by its subsidiary, weakens the legal shield between businesses and their corporate parents, and has started a legal battle that may last for years, say attorneys at Haynes Boone.

  • A New Regulatory Environment For PE In Calif. Healthcare

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    The California Office of Health Care Affordability's proposed revisions to its cost and market impact review regulations, amid broader state scrutiny of private equity-backed healthcare arrangements, represent a qualitative shift in California's regulatory posture toward institutional healthcare investment, say attorneys at Ropes & Gray.

  • Laptop Farms Highlight Identity Fraud Risks Of Remote Work

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    Two U.S. nationals' recent sentencing in Massachusetts federal court for a scheme that enabled foreign operatives to obtain remote jobs at U.S. companies using stolen identities is a reminder that employers must recalibrate their remote hiring, onboarding and monitoring practices to mitigate evolving cybersecurity and geopolitical risks, say attorneys at Foley & Lardner.

  • How New FERC Orders Are Prepping Grid For Large Loads

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    The Federal Energy Regulatory Commission's recent show-cause orders to grid operators to justify how their rates and regulations account for the interconnection of large and colocated loads like data centers may be just the first step in FERC's efforts to address anticipated reliability and affordability challenges in the coming years, say attorneys at Baker Donelson.

  • AI Governance Tips For Avoiding Securities Suits

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    A recent securities class action in California federal court against lending platform Upstart highlights how statements about artificial intelligence are increasingly being scrutinized not only by regulators, but also by shareholders, meaning companies should ensure oversight frameworks keep pace with the technology, say attorneys at Akerman.

  • How Cos. Can Prep For Ultra-Processed Food Legal Risks

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    A wave of litigation and government scrutiny directed against ultra-processed foods is now gaining momentum, following patterns seen previously in other industries — and food companies that recognize those patterns early will be better positioned to manage the increasing risks, say attorneys at Arnold & Porter.

  • Lessons From The DOJ's 1st Enforcement Policy Declination

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    The first U.S. Department of Justice declination to prosecute alleged export control violations and national security offenses offers a window into the operation of the administration’s recently implemented corporate enforcement and voluntary self‑disclosure policy, and how companies' compliance and cooperation efforts should be targeted, say attorneys at Pillsbury.

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