Compliance

  • October 29, 2026

    Connecticut Trader To Pay $910K To Settle SEC Fraud Claims

    A Connecticut trader and his firm agreed Thursday to pay over $900,000 to the U.S. Securities and Exchange Commission to resolve claims that they made Ponzi-like payments to investors and misled them about trading returns and pre-initial public offering holdings.

  • October 29, 2026

    Meta Faces Senate Inquiry Over AI Glasses Privacy Risks

    Two Democratic senators on Thursday launched an investigation into allegations that Meta Platforms' "smart" glasses capture sensitive images of users and bystanders without their consent and use the data to train the tech giant's artificial intelligence models.

  • October 29, 2026

    NY Bars AI Chatbots From Using Emotional Tactics With Kids

    New York Gov. Kathy Hochul signed a law Wednesday that creates a regulatory framework restricting artificial intelligence chatbots' emotional interactions with minors, spurring swift pushback from business groups, which criticized the legislation for allegedly being unconstitutionally vague and overly broad.

  • October 29, 2026

    Navy Beats Clean Water Act Suit Over Fuel Discharges

    A Hawaii federal judge ruled in favor of the U.S. Navy over an environmental group's claims it violated the Clean Water Act by discharging fuel into Pearl Harbor, saying there's no reasonable likelihood that the Navy will continue to do so.

  • October 29, 2026

    GEO Says Colo. Health Inspection Law Suit Should Survive

    The federal contractor that runs an immigration detention center near Denver is coming out swinging against Colorado's attempt to kill its suit challenging a state law requiring extra inspections, saying its claims cannot be considered premature just because the state has not enforced the law yet.

  • October 29, 2026

    Courts Can't Nix Calif. Waiver Moves, EPA Tells DC Circ.

    The Trump administration has urged the D.C. Circuit to restore the U.S. Environmental Protection Agency's move to make Clean Air Act waivers for California subject to potential rescission by lawmakers, saying a lower court wrongly intruded on Congressional authority in blocking the effort.

  • October 29, 2026

    SEC Reopens $200M Debt Box Case After Sanctions

    The U.S. Securities and Exchange Commission has reopened a $200 million crypto Ponzi scheme case that landed it in hot water two years ago, saying that the individuals behind the company known as Debt Box misled investors into believing that they were spending on real-world projects.

  • October 29, 2026

    Utah Hits Kalshi With Criminal Charges Over Sports Offerings

    Utah has brought criminal charges in state court against Kalshi and its co-founders under its anti-gambling laws, amid an ongoing jurisdictional battle over whether federal law preempts state and tribal regulation of the prediction market platform's sports event contracts.

  • October 29, 2026

    Warren Calls For BofA Criminal Probe After $1.2B AML Fine

    Massachusetts Sen. Elizabeth Warren, the ranking Democrat on the Senate Committee on Banking, Housing, and Urban Affairs, called for a federal criminal probe Thursday into Bank of America after the U.S. Treasury Department fined the institution $1.2 billion this month over alleged anti-money laundering failures.

  • October 29, 2026

    Treasury Asked To Narrow Crackdown On Fund Strategies

    The U.S. Treasury Department should develop targeted rules distinguishing abusive transactions from long-standing investment management practices in new enforcement that scrutinizes novel strategies exploiting the tax benefits of certain investment vehicles and financial products, firms and organizations told the department.

  • October 29, 2026

    FCC Agrees To Rules Targeting Some Foreign Test Labs

    The Federal Communications Commission voted Thursday to block recognition of equipment testing labs in countries that do not similarly recognize U.S.-based labs.

  • October 29, 2026

    Mich. Judge Mulls Detroit Sign Rules Ahead Of Election

    A Michigan federal judge questioned Detroit's permitting requirements for political signs Thursday as she considered whether to let a congressional write-in candidate display dozens of campaign signs outside businesses ahead of Tuesday's election.

  • October 29, 2026

    Tech Prices, Driver Networks Hang Over DoorDash Tie-Up

    Antitrust observers told Law360 Thursday they expect significant scrutiny of DoorDash's plan to acquire Instacart for an equity value of approximately $17 billion, pointing to the overlap between their restaurant and grocery delivery services, and the timing of the deal just as the Federal Trade Commission launches a surveillance pricing investigation.

  • October 29, 2026

    Block Investors Win Cert. In Biz Growth, Compliance Suit

    A California federal judge has certified a narrowed class of investors in Block Inc., the parent company of Square and Cash App, in a suit alleging the company failed to maintain a "strong compliance infrastructure" and misled investors about the growth of Cash App, leading to an 84% stock price decline once the truth came to light.

  • October 29, 2026

    Judge Seems Unswayed By Fears SEC Seeks 'Enemies List'

    A Pennsylvania federal judge on Thursday appeared reluctant to block the U.S. Securities and Exchange Commission's subpoena seeking information about voting advice that proxy adviser Institutional Shareholder Services gives to institutional investors despite ISS' concerns about political retaliation.

  • October 29, 2026

    9th Circ. Drops Speech Holding In Seattle Gig Worker Ruling

    The Ninth Circuit on Thursday withdrew its earlier finding that Seattle's protections for app-based delivery workers don't regulate speech, replacing it with a narrower ruling that assumes the law involves speech but still passes First Amendment scrutiny.

  • October 29, 2026

    FCC Floats $4.4M Fine For Boomerang's Alleged Lifeline Fraud

    The Federal Communications Commission proposed a $4.4 million fine against Boomerang Wireless for allegedly defrauding the Lifeline program, which gives discounts on phone and internet services to qualifying low-income Americans.

  • October 29, 2026

    Tax Consultancy Asks 5th Circ. To Kill Microcaptive Rule

    The IRS never published data showing that microcaptive transactions pose a potential for tax avoidance to justify a rule making companies and advisers report them as "transactions of interest," a tax consultancy seeking the rule's demise told the Fifth Circuit.

  • October 29, 2026

    PCAOB To Consider Easing Path To Semiannual Reporting

    The Public Company Accounting Oversight Board announced Thursday that it could soon alter its regulations in a way that could make it easier for companies to choose semiannual reporting should the U.S. Securities and Exchange Commission adopt those changes to the public-company reporting schedule.

  • October 29, 2026

    FTC, States Allege Toast Trapped Restaurants With Fees

    The Federal Trade Commission and eight states sued Toast Inc. on Thursday, accusing the restaurant software company of saddling restaurants with hidden fees, failing to provide promised customer support and making it difficult to cancel its services.

  • October 29, 2026

    EEOC Eliminates Long-Standing Criminal History Guidance

    The U.S. Equal Employment Opportunity Commission has revoked Obama-era guidance that outlined employers' legal obligations in their use of workers' arrest and conviction records to make employment decisions, the agency announced Thursday.

  • October 29, 2026

    GoFundMe Hires Fiserv Compliance Chief

    GoFundMe has announced it welcomed the chief compliance officer of Fiserv as its own compliance head to lead the fundraising platform's global compliance strategy, following her previous roles at First Data and Citi.

  • October 29, 2026

    1st Circ. Seeks Mass. Justices' Input On USAA Rate Row

    The First Circuit asked Massachusetts' highest court to weigh in on a suit by service members alleging USAA improperly considered their military pay grade when issuing auto insurance policies, finding the dispute implicates questions of state law.

  • October 29, 2026

    Judge Rejects Extra Hurdle For Medicaid Frailty Exemption

    A Trump administration bid to create additional barriers to Medicaid eligibility was rejected Thursday by a Massachusetts federal judge, who ruled that Congress did not delegate to the executive branch the task of deciding who is too medically frail to meet work requirements.

  • October 29, 2026

    Pot Use Firing Suit Can Be Arbitrated Despite Flawed Clause

    A California state judge has granted Aarris Healthcare Staffing LLC's bid to compel arbitration against a former employee alleging she was wrongly fired for off-duty cannabis use, despite finding portions of the agreement unenforceable.

Expert Analysis

  • West Point Prof's Suit Tests Public Employee Speech Limits

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    A recent complaint in New York federal court alleging that West Point unlawfully terminated a professor who challenged a directive banning references to human causes of climate change could illuminate how academic freedom and public employee speech protections apply at a military academy, say attorneys at Foley & Lardner.

  • Compete Act Reinforces Calif.'s Antitrust Leadership Role

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    California's recent passage of the Compete Act, which expands the state's principal antitrust statute's focus on concerted multifirm conduct to business dealings between two or more firms, underscores California's leadership in state antitrust enforcement as attorneys general move to fill perceived gaps left by reduced federal oversight, say attorneys at Skadden.

  • Va. Data Center Order Shows State Air Permit Limits

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    A consent order over data center air pollution violations proposed by Virginia, which Microsoft recently agreed to, demonstrates why an emergency situation may not excuse state air permit noncompliance, and why emergency power reliability and environmental compliance cannot be evaluated in isolation, says Sanaa Chakibi at SICPA Securink.

  • Parsing The Lowest SEC Enforcement Stats In Over A Decade

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    Statistics show that the U.S. Securities and Exchange Commission brought a historically low number of enforcement actions during Paul Atkins' first full fiscal year as chairman, delivering on his promise to reduce enforcement in program areas focused on recordkeeping and other technical violations, say attorneys at Covington.

  • Coinbase Ruling Showcases A Texas Reincorporation Benefit

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    The Texas Business Court's recent decision in Guillaume v. Armstrong, finding that a shareholder's claims against Coinbase, originally incorporated in Delaware, are nonetheless subject to Texas presuit demand law if made after reincorporation, provides a procedural advantage for companies that have made the move, say attorneys at Cleary.

  • NHTSA Vehicle Recorder Rule Highlights Crash Data Protocols

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    An amended rule from the National Highway Traffic Safety Administration will soon require vehicle event data recorders to capture more information about crashes — but to turn that data into evidence, attorneys, claims professionals and fleet managers must properly obtain and preserve it after an incident occurs, says Andrew Haling at Pathway Law.

  • What Expanded CMS Authority Means For Health Compliance

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    A recent delegation gives the Centers for Medicare & Medicaid Services independent authority to impose permissive exclusions, creating a more active federal enforcement system with heightened risks for healthcare organizations, says Jose Vela at Clark Hill.

  • Navigating Criminal Liability Under Calif. Worker Safety Law

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    A new California law mandates agency investigation across several types of workplace safety incidents, eliminates prior discretion and imposes unprecedented parallel criminal investigations, but employers can take steps to manage the heightened enforcement risk, say Stacey Geis at Crowell & Moring and Karen Tynan at Ogletree.

  • How '21 IPO Class Can Prep For 'Emerging Growth Co.' Sunset

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    Five years after the initial public offering boom of 2020 and 2021 brought an unusually large number of companies into the U.S. public markets, many are set to lose their status as "emerging growth companies," so they should use the next two months to build a coordinated transition plan, say attorneys at Clark Hill.

  • Midterm Elections Outlook For Financial Services

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    A change in congressional control after the upcoming midterm elections could bring about slower regulatory approvals, intensified oversight and shifting enforcement priorities for the financial services industry, say attorneys at Covington.

  • New Manhattan DA Task Force Puts Antitrust In Its Crosshairs

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    The Manhattan District Attorney's Office's new corporate crime and antitrust task force is adding local criminal enforcement to a field long led by federal authorities, meaning companies need to account for potential parallel federal and state antitrust investigations when responding to misconduct, say attorneys at Ropes & Gray.

  • Right-To-Repair Laws Create Manufacturer Compliance Maze

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    Without existing precedent to help interpret new right-to-repair laws, original equipment manufacturers must make careful judgments about how best to comply with conflicting state statutes — but several principles related to documentation, replacement products and more emerge from the patchwork, say attorneys at Faegre Drinker.

  • Where Species And Wetlands Reg Rollbacks Leave Cos.

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    The current administration's rollbacks of regulations covering waters of the U.S. and endangered species may ease permitting burdens and shorten approval timelines, but those potential benefits are tempered by state-level protections, likely legal challenges and possible reversals by a future administration, say attorneys at White & Case.

  • 3 Strategies To Reduce AI Sycophancy In Legal Work

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    The tendency of generative artificial intelligence models to tell users what they want to hear can reinforce attorneys’ confirmation bias when testing the strength of arguments, and it can’t simply be prompted away — but a few practices can help mitigate it, says Michael Ott at Ice Miller.

  • Opinion

    Justices' Climate Ruling Should Preserve State Tort Claims

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    As recent oral arguments in Suncor Energy v. Boulder County demonstrated, the case hinges on long-standing principles of federalism that allow state and local governments to protect their resources and citizens — and if the justices rule based on precedent, Suncor should lose, says William Buzbee at Georgetown University Law Center.

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