Compliance

  • March 30, 2026

    FINRA Sanctions Upheld At 6th Circ. Against Unregistered CEO

    The Sixth Circuit won't reverse Financial Industry Regulatory Authority sanctions against the owner of a consulting company who argued he'd been unfairly ruled against by a self-regulatory organization he never joined, though the judges stopped short of weighing the petitioner's constitutional challenges to the FINRA findings.

  • March 30, 2026

    SEC Workers Cite Concern Job Cuts Left Knowledge Gaps

    The U.S. Securities and Exchange Commission's headcount hit a decade low in fiscal year 2025, and some who remain are concerned that key institutional knowledge may have been lost, according to a new report by the U.S. Government Accountability Office.

  • March 30, 2026

    TD Bank Moves Funds' Suits Over Failed First Horizon Deal

    Toronto-based TD Bank has moved to New Jersey federal court two suits from hedge funds that invested in First Horizon Corp. alleging TD Bank is liable for their losses due to statements it made about the likelihood of regulatory approval of the banks' merger, arguing the suits both raise federal questions that belong in federal court.

  • March 30, 2026

    FCA Qui Tams Are Unconstitutional, Eli Lilly Tells Justices

    The False Claims Act's whistleblower provisions are unconstitutional, drugmaker Eli Lilly has told the U.S. Supreme Court, asking it to overturn a Seventh Circuit decision upholding a $183 million trial win for a whistleblower who claimed the drug company hid how much it charged for Medicaid-covered drugs. 

  • March 30, 2026

    Full 11th Circ. Asked To Review SEC's $1M Penny Stock Award

    Spartan Securities and other defendants sued by the U.S. Securities and Exchange Commission over an alleged penny stock fraud petitioned the Eleventh Circuit Monday for a full court rehearing of a panel decision affirming a $1 million judgment in favor of the SEC.

  • March 30, 2026

    Catching Up With Delaware's Chancery Court

    The Delaware Chancery Court's docket this past week featured disputes involving globally recognized companies, high-dollar contract fights, revived claims from the state's high court and the resolution of a closely watched de-SPAC case.

  • March 30, 2026

    Churchill Downs Kicks Texas Betting Fight To Federal Court

    A dispute over Texans' ability to bet on out-of-state horse races is headed to federal court after Churchill Downs Inc. booted the case out of state court Monday, arguing that it is clearly a cross-state dispute.

  • March 30, 2026

    'Is It Kafka?' Judge Presses Pentagon On Press Restrictions

    A D.C. federal judge requested additional briefing Monday from the Trump administration before deciding whether to toss the U.S. Department of Defense's revised rules restricting journalists' access to the Pentagon but said some new allegations from reporters read like the revisions came from a Franz Kafka novel.

  • March 30, 2026

    FTC Says Anesthesia Group Cheered While Raising Prices

    The Federal Trade Commission pushed back against a bid from U.S. Anesthesia Partners to avoid facing trial on claims that it monopolized the market through a rollup strategy, saying the company celebrated its ability to dramatically increase prices.

  • March 30, 2026

    Investment Firm Fined For Ads Pitching Copycat Portfolios

    An online investment advisory firm that offered clients the chance to copy the trading activity of well-known business and political figures will pay a $500,000 administrative fine and restitution to resolve a complaint that Massachusetts securities regulators brought alleging misleading social media ads.

  • March 30, 2026

    Ex-Yale Student's Defamation Suit Tossed, Misconduct Cited

    An ex-Yale student suing the university and a sexual assault accuser engaged in "repeated and escalating" litigation misconduct including violating anonymity orders and withholding key information from numerous courts, warranting dismissal as a punishment, a Connecticut federal judge has ruled in tossing the case.

  • March 30, 2026

    Pillsbury Asks To Toss Suit Over Nonclient Data Breach

    Pillsbury Winthrop Shaw Pittman LLP sought dismissal of a consolidated data breach action in New York federal court Friday due to the plaintiffs' alleged lack of relationship with the firm and inability to identify any cognizable damages.

  • March 30, 2026

    Chancellor Rejects Musk Recusal Bid But Transfers Tesla Suits

    The top judge of the Delaware Chancery Court on Monday rejected Elon Musk's bid to force her off three high-profile cases involving stockholders and Tesla, but reassigned the litigation anyway, citing concerns that intense public attention could undermine confidence in the proceedings.

  • March 30, 2026

    J&J Unit Wants Forensic Exam Of Ex-Director's Devices

    A Johnson & Johnson subsidiary urged a New Jersey federal court to order a former associate director to submit to a court-supervised forensic inspection of any device or account in which she could have stored confidential information it claims she downloaded in order to start her own competing company.

  • March 30, 2026

    NC County Accused Of Withholding Landfill PFAS Records

    A North Carolina county was accused in state court of violating public records law by either not producing — or producing in an inadequate manner — records related to the presence of per- and polyfluoroalkyl substance (PFAS) pollution in and around the county landfill.

  • March 30, 2026

    Cognizant Hit With $8.4M Verdict Over NYU Prof's Firing

    A Manhattan federal jury on Monday awarded $8.4 million to a New York University professor and former Cognizant Technology Solutions employee who claimed he was fired in retaliation for alleging the information technology company engaged in systematic hiring bias.

  • March 30, 2026

    Exchanges Are First Line In CFTC Prediction Market Policing

    As the U.S. Commodity Futures Trading Commission insists it will be the primary cop for the growing expanse of prediction markets, experts said the agency is signaling that its first line of defense will be the internal enforcement programs of registrants like Kalshi.

  • March 30, 2026

    Md. Officials Immune In Challenge To Pot, Hemp Rules

    A Maryland federal judge has thrown out a challenge by hemp sellers, farmers and a consumer to Maryland's new rules requiring a cannabis license to sell intoxicating hemp products, finding that the state officials have sovereign immunity.

  • March 30, 2026

    Justices Turn Away Case Over SEC Receivership Powers

    The U.S. Supreme Court on Monday rejected a plea by a Dallas real estate developer to hear a challenge to the U.S. Securities and Exchange Commission's ability to seize the assets of alleged fraudsters before a trial can take place.

  • March 30, 2026

    Justices Won't Examine Mich. Immunity In Pipeline Row

    The U.S. Supreme Court on Monday refused to review a Sixth Circuit decision that greenlighted Enbridge Energy LP's lawsuit challenging Michigan's decision to revoke an easement for the company's controversial Line 5 oil and gas pipeline.

  • March 30, 2026

    Justices Pass On FCA Suit Alleging Quest Diagnostics Fraud

    The U.S. Supreme Court rejected on Monday a former Quest Diagnostics Inc. compliance officer's bid for review of the dismissal of a long-running False Claims Act suit against the medical testing company.

  • March 30, 2026

    High Court Won't Undo Washington Tribal Immunity Order

    The U.S. Supreme Court on Monday declined to take up a Washington cattle ranch's petition that challenged the immovable property rule's application to tribal sovereign immunity in an effort to revive its dispute over rights to land along the Stillaguamish River.

  • March 27, 2026

    BofA Will Pay $72.5M In Deal Ending Epstein Ties Allegations

    Bank of America agreed to pay $72.5 million to put to rest a proposed class action alleging the bank helped facilitate Jeffrey Epstein's sex crimes, according to a motion for preliminary approval of the deal filed in New York federal court Friday.

  • March 27, 2026

    Elizabeth Holmes Gets 11-Year Prison Sentence Cut By A Year

    A California federal judge has shaved off a year from convicted ex-Theranos CEO Elizabeth Holmes' 11-year-and-three-month prison sentence for securities fraud due to recent sentencing guideline amendments, reducing her time behind bars by one year, instead of the two years she requested, amid objections by prosecutors.

  • March 27, 2026

    Live Nation Beat Rivals With Better Tech, Jury Hears

    A former executive for AEG Presents on Friday testified that his former employer's ticketing system was subpar to that of Live Nation's Ticketmaster, as counsel for the latter portrayed the live entertainment giant's dominant position in the market as a natural result of its superior services to clients.

Expert Analysis

  • What Applicants Can Expect From Calif. Crypto License Law

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    With the July effective date for California's Digital Financial Assets Law fast approaching, now is a critical time for companies to prepare for licensure, application and coverage compliance ahead of this significant regulatory milestone that will reshape how digital asset businesses operate in California, say attorneys at MoFo.

  • Elections Mean Time For Political Law Compliance Checkups

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    An active election year is the perfect time for in-house counsel to conduct a health check on their company's corporate political law compliance program to ensure it’s prepared to minimize risks related to electoral engagement, lobbying, pay-to-play laws and government ethics rules, say attorneys at Steptoe.

  • Next Steps For Fair Housing Enforcement As HUD Backs Out

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    A soon-to-be-finalized U.S. Department of Housing and Urban Development rule, which would hand responsibility for determining disparate impact liability under the Fair Housing Act to the courts, reinforces the Trump administration’s wider rollback of fair lending enforcement, yet there are reasons to expect litigation challenging this change, say attorneys at Spencer Fane.

  • Takeaways From 8th Circ. Ruling On Worker's 'BLM' Display

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    The Eighth Circuit's recent decision in Home Depot v. National Labor Relations Board, finding that Home Depot legally prohibited an employee from displaying Black Lives Matter messaging on his uniform, reaffirms employers' right to restrict politically sensitive material, but should not be read as a blank check, say attorneys at Hunton.

  • Malpractice Claim Assignability Continues To Divide Courts

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    Recent decisions from courts across the country demonstrate how different jurisdictions balance competing policy interests in determining whether legal malpractice claims can be assigned, providing a framework to identify when and how to challenge any attempted assignment, says Christopher Blazejewski at Sherin & Lodgen.

  • What Clarity Act Delay Reveals About US Crypto Regulation

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    The Senate Banking Committee's decision to delay markup of the Clarity Act, which would establish a comprehensive federal framework for digital assets, illuminates the political and structural obstacles that shape U.S. crypto regulation, despite years of bipartisan calls for regulatory clarity, says David Zaslowsky at Baker McKenzie.

  • Courts' Rare Quash Of DOJ Subpoenas Has Lessons For Cos.

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    In a rare move, three federal courts recently quashed or partially quashed expansive U.S. Department of Justice administrative subpoenas issued to providers of gender-affirming care, demonstrating that courts will scrutinize purpose, cabin statutory authority and acknowledge the profound privacy burdens of overbroad government demands for sensitive records, say attorneys at ArentFox Schiff.

  • Prepping Employee Health Plans For This Year's Compliance

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    2026 employee health plan compliance will kick off with a major privacy compliance deadline, requiring a coordinated set of document updates, vendor confirmations and enrollment communications to allocate attention effectively between new requirements and existing protocols, say attorneys at Neal Gerber.

  • Unpacking Dormant Commerce Clause Cannabis Circuit Split

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    Federal courts have reached differing conclusions as to whether state-legal cannabis is subject to the dormant commerce clause, with four opinions across three circuit courts in the last year demonstrating the continued salience of the dormant commerce clause debate to the nation's cannabis industry, regulators and policymakers, say attorneys at Perkins Coie.

  • How Latest Nasdaq Proposals Stand To Raise Listings Quality

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    Nasdaq's recent proposals stand to heighten both quantitative and qualitative standards for issuers, which, if approved, may bring investors stronger market integrity and access but also raise the listings bar, say attorneys at Norton Rose.

  • Opinion

    CFIUS Must Adapt To Current Foreign Investment Realities

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    To continue protecting the U.S.’ long-term strategic and economic interests, the Committee on Foreign Investment in the United States should implement practical enhancements that leverage technology, expertise and clear communication, and enable it to keep pace with evolving demands, says attorney Sohan Dasgupta.

  • Texas AG Wields Consumer Protection Law Against Tech Cos.

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    Texas Attorney General Ken Paxton has targeted technology companies using the Texas Deceptive Trade Practices Act, a broadly worded statute that gives the attorney general wide latitude to pursue claims beyond traditional consumer protection, creating unique litigation risks, say attorneys at Yetter Coleman.

  • When Bankruptcy Collides With Product Recalls

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    The recent bankruptcy filing by Rad Power Bikes on the heels of a U.S. Consumer Product Safety Commission warning about dangerously defective batteries sold by the company highlights how CPSC enforcement clashes with bankruptcy protections, leaving both regulators and consumer litigants with limited options, says Michael Avanesian at Avian Law Group.

  • Protecting Sensitive Data During Congressional Inquiries

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    With the 2026 midterm elections potentially set to shift control of one or both houses of Congress, entities must proactively plan for the prospect of new congressional investigations, and adopt strategic, effective and practical measures to mitigate risks related to disclosure of sensitive information, say attorneys at Crowell & Moring.

  • Where PCAOB Goes Next After A Year Of Uncertainty

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    The Public Company Accounting Oversight Board will likely bring fewer enforcement matters in 2026, reflecting a notable change in board priorities following the change in administrations, say Robert Cox and Nicole Byrd at Whiteford Taylor and Matthew Rogers at Bridgehaven Consulting.

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