12/17/2025 7:12:41 PM SEC and FINRA Increase Oversight of Cross-Border Small-Cap Offerings By Troy Tessem Brooke Clarkson Executive Summary In late 2025, the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA)...
12/17/2025 6:56:39 PM Amended Regulation S-P: Here to Stay and Being Examined in 2026 By Peter Fetzer Joe Swanson Jim Lundy Last month, the U.S. Securities and Exchange Commission (SEC) Division of Examinations released its Fiscal Year 2026 “Examination...
12/17/2025 6:43:39 PM It’s a Wonderful Hypo: What if the Bailey Bros. Building & Loan Was a SEC Registered Investment Adviser? By Jim Lundy In the 1946 film “It’s a Wonderful Life,” George Bailey is despondent after a series of mishaps — including his family member and...
12/17/2025 5:48:11 PM Ten FAQ About “Crypto” for Corporate Directors By Patrick Daugherty What is “crypto”? The term “crypto” is shorthand for “cryptographic asset,” which is generally understood to be a digital asset whose...
10/7/2025 6:39:08 PM Texas Stock Exchange Obtains SEC Approval By Vi Tran On September 30, 2025, the U.S. Securities and Exchange Commission (SEC) formally approved the Texas Stock Exchange (“TXSE”) to operate...
9/10/2025 3:28:08 PM Tornado Cash and the Legality of Mixers By Patrick Daugherty Ken Breen Phara Guberman On August 6, 2025, after a four-week trial in the Southern District of New York (S.D.N.Y.), the jury in the Tornado Cash case reached an...
6/26/2025 4:21:15 PM New Opportunities and Challenges for Board Directors By Fandl User Foley & Lardner LLP recently co-hosted a webinar with the National Association of Corporate Directors to discuss how a new presidential...
6/26/2025 4:17:09 PM First Circuit’s Reversal of Summary Judgment Clarifies Materiality Standard for Advisory Conflicts By Fandl User A recent ruling may raise the bar for the Securities and Exchange Commission (SEC) in charging registered investment advisers for...
6/26/2025 4:02:59 PM Delaware Law on Fiduciary Duties and Stockholder Agreements By Fandl User Delaware corporate law is renowned for its balance between flexibility in business arrangements and the fundamental principles of...
5/20/2025 3:40:37 PM First Circuit’s Reversal of Summary Judgment Clarifies Materiality Standard for Advisory Conflicts By Kate Throo William McCaughey Margaret Nelson A recent ruling may raise the bar for the Securities and Exchange Commission (SEC) in charging registered investment advisers for...