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Compliance

  • September 04, 2025

    Gov't Backs Funds Against Activist Investor Before High Court

    The federal government and the U.S. Chamber of Commerce have filed amicus briefs in support of a group of investment funds that are asking the U.S. Supreme Court to constrain the rights of private parties to file lawsuits under the Investment Company Act.

  • September 04, 2025

    Unions Defend Challenge To Federal Work Safety Agency Cuts

    Unions representing nurses, teachers, miners and factory workers have asked a Washington, D.C., federal judge to preserve their challenge to the Trump administration's cuts to the National Institute of Occupational Safety and Health, saying they have standing to sue because they "rely on NIOSH's lifesaving work."

  • September 04, 2025

    10th Circ. Revives Suit Over Colo.'s Police Info Disclosure Law

    The Tenth Circuit, in reversing a lower court's ruling, said a former process server can move forward with his challenge to a Colorado law restricting the disclosure of police officers' personal information, finding he has standing because the law could affect the server's development of "CopScore," a data-driven project aimed at police accountability.

  • September 04, 2025

    PBM Rule Included In DOL Benefits Arm's Regulatory Update

    The U.S. Department of Labor's employee benefits arm detailed several new regulations in the works Thursday, including a new fee disclosure rule involving pharmacy benefit managers and plans to revisit retirement plan fiduciary investment advice regulations, according to the administration's latest regulatory update.

  • September 04, 2025

    Cathay Bank Denies Knowledge Of $20M NFT Scam Suit

    California-based Cathay Bank asked a federal judge to throw out claims alleging it ignored red flags from scammers and enabled a $17 million romance scam, arguing the victim did not allege the bank even knew about the alleged fraud.

  • September 04, 2025

    Democrats Press Trump's Fed Pick On His Independence

    Stephen Miran, a close ally of President Donald Trump, was sharply questioned by Democratic senators on Thursday about his ability to independently carry out a leadership role at the Federal Reserve's Board of Governors after he said he would refuse to resign from the president's Council of Economic Advisers if confirmed.

  • September 03, 2025

    Feds, SEC Say ATM Investment Network Was $770M Ponzi

    The owner and operator of two investment management groups was arrested Wednesday and accused by federal prosecutors and the U.S. Securities Exchange Commission of directing a $770 million Ponzi scheme that promised investors returns on stakes in ATM networks.

  • September 03, 2025

    NJ Cities Say Precedent Protects Immigration Enforcement Laws

    Four Garden State cities blasted a U.S. Department of Justice lawsuit accusing them of obstructing federal immigration enforcement, telling a New Jersey federal judge that the case cannot overcome precedent that upheld the state policy at issue.

  • September 03, 2025

    Fintechs Urge Judge To Let ÃÛÌÒÊÓÆµ Set Open Banking Deadline

    The fintech trade group defending the Consumer Financial Protection Bureau's in-flux open banking rule on Wednesday urged a Kentucky federal judge to defer to the agency on whether to extend compliance deadlines for the data sharing mandate and also to decline banks' request to halt the clock as the agency retools the rule.

  • September 03, 2025

    Google Can Thank AI's Rise For Mixed Search Remedies

    Despite Google's resounding defeat last year in the U.S. Department of Justice's case targeting its search monopoly, the company will face only a mixed bag of remedies aimed at propping up search engine rivals and limiting its distribution contracts.

  • September 03, 2025

    FINRA Targets Ex-Synapse Officers Over Supervisory Failures

    The Financial Industry Regulatory Authority has filed an enforcement action against two former executives of a subsidiary of bankrupt fintech company Synapse, alleging that they failed to properly supervise the subsidiary's cash management program ahead of the middleware provider's collapse.

  • September 03, 2025

    4th Circ. Denies Injunction In Md. Cannabis Licensing Challenge

    A California cannabis entrepreneur lost her bid to upend Maryland's social equity licensing program Tuesday when the Fourth Circuit ruled that the state's policies seeking to address inequalities within the cannabis industry are not discriminatory.

  • September 03, 2025

    9th Circ. Won't Revive Genentech Ex-Worker's 401(k) Suit

    The Ninth Circuit will not reconsider whether fiduciaries for the retirement plan of biotechnology company Genentech violated their duty to be prudent by keeping certain target date retirement funds in the company's retirement portfolio.

  • September 03, 2025

    CFTC Member Expresses 'Discontent' As She Exits Agency

    Departing Commodity Futures Trading Commission member Kristin Johnson used her final speech Wednesday to express disfavor with some recent agency actions, saying she was running out of ways to "politely describe" her "discontent" with the recent loosening of licensing standards.

  • September 03, 2025

    Ex-OCC Acting Chief Counsel Joins Perkins Coie In DC

    The former acting chief counsel of the Office of the Comptroller of the Currency has joined Perkins Coie as a partner in the firm's Washington, D.C., office, where he will focus on bank mergers, regulatory matters, enforcement response and risk management, among other things.

  • September 03, 2025

    Feds Move To Sink Mass. Offshore Wind Farm Approval

    The federal government said Wednesday it will yank approval for a Massachusetts offshore wind farm 20 miles south of Martha's Vineyard, the latest in a series of moves by the Trump administration to stymie U.S. offshore wind development.

  • September 03, 2025

    Players Challenge NCAA's 'Redshirt' Rule As Anticompetitive

    A group of Division I athletes filed an antitrust lawsuit in Tennessee federal court challenging the NCAA's eligibility rules, alleging the rules operate as artificial caps on competition that constitute commercial restraint and result in suppressed economic opportunities for students.

  • September 03, 2025

    Authority For Emergency Tariffs Poses Puzzle For Justices

    The U.S. Supreme Court faces a provocative puzzle over President Donald Trump's worldwide tariff regime that the Federal Circuit has found illegal, as the judges' positions didn't follow the usual political lines, leaving wide open how the high court may rule on the president's tariff powers.

  • September 03, 2025

    Silvergate's $37.5M Investor Settlement Gets Final OK

    Investors of failed, cryptocurrency-focused Silvergate Bank secured a California federal judge's final approval Wednesday for their $37.5 million settlement of claims alleging the bank misrepresented its safeguards against onboarding customers like the collapsed, fraud-ridden crypto exchange FTX.

  • September 03, 2025

    Lumen's Bid To Move $1.4B Pension Suit Out Of Colo. Blocked

    A Colorado federal judge on Wednesday rejected Lumen Technologies' request to move to Louisiana a proposed class action alleging it wrongly transferred obligations for a $1.4 billion pension fund to a private equity-controlled insurance company, with the judge finding the venue provision in the pension plan does not apply.

  • September 03, 2025

    Insurers Argue NC Law Doesn't Apply In Tanger's COVID Suit

    Two major insurance companies shouldn't be subject to North Carolina law in a dispute over a commercial property insurance policy they penned with a Tar Heel State-based retail outlet owner, one of the insurer's counsel told North Carolina's business court in a Wednesday hearing.

  • September 03, 2025

    Texas Judge Asks Feds How Boeing Deal Serves Public

    A Texas federal judge pressed the U.S. government to explain why he should accept a nonprosecution agreement with Boeing that would let the company escape a criminal case for its role in deadly 737 Max 8 crashes, asking Wednesday how the deal serves the public.

  • September 03, 2025

    Google Owes Over $425M For Collecting App Data, Jury Says

    A California federal jury concluded Wednesday that Google unlawfully collected information from 98 million cellphone users who'd asked the tech giant not to track their app activity, awarding over $425 million in damages but finding punitive damages are not warranted in the class action.

  • September 03, 2025

    1st Circ. Doubts Eateries' Suit Over Outdoor Dining Limits

    The First Circuit appeared unlikely on Wednesday to revive a suit on behalf of restaurant owners in Boston's North End over the city's restrictions on outdoor dining, repeatedly questioning the basis for the plaintiffs' retaliation claims.

  • September 03, 2025

    Ga. County Board Will Face Black Voter Disenfranchisement Suit

    A Georgia federal judge has refused to dismiss a suit alleging Houston County's at-large method of electing its board of commissioners dilutes Black voting strength in violation of the Voting Rights Act, disagreeing with the board's interpretation of the VRA's rules allowing such suits, among other issues.

Expert Analysis

  • New DOJ Penalty Policy Could Spell Trouble For Cos.

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    In light of the U.S. Department of Justice’s recently published guidance making victim relief a core condition of coordinated resolution crediting, companies facing parallel investigations must carefully calibrate their negotiation strategies to minimize the risk of duplicative penalties, say attorneys at Debevoise.

  • Influencer Marketing Partnerships Face Rising Litigation Risk

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    In light of recent class actions claiming that brands and influencers are misleading consumers with deceptive marketing practices — largely premised on the Federal Trade Commission's endorsements guidance — proactive compliance measures are becoming more important, say attorneys at Olshan Frome.

  • Mulling Worker Reclassification In Light Of No Tax On OT

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    The One Big Beautiful Bill Act's no-tax-on-overtime provisions provide tax relief for employees who regularly work overtime and are nonexempt from the Fair Labor Standards Act, but reclassifying employees may lead to higher compliance costs and increased wage and hour litigation for employers, says Steve Bronars at Edgeworth Economics.

  • A Look At Key 5th Circ. White Collar Rulings So Far This Year

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    In the first half of 2025, the Fifth Circuit has decided numerous cases of particular import to white collar practitioners, which collectively underscore the critical importance of meticulous recordbuilding, procedural compliance and strategic litigation choices at every stage of a case, says Joe Magliolo at Jackson Walker.

  • Clean Energy Tax Changes Cut Timelines, Add Red Tape

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    With its dramatic changes to energy tax credits, the One Big Beautiful Bill Act will reshape project financing and investment planning — and wind and solar developers, especially those in the early stages of projects, face stricter timelines and heightened compliance challenges, says Dan Ruth at Balch & Bingham.

  • 5 Consumer Protection Compliance Issues In NY State Budget

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    Companies that engage with New York consumers should promptly familiarize themselves with new state budget provisions that require finance and retail companies to make certain business practices more transparent and easier for customers to execute, say attorneys at Mintz.

  • Balancing The Promises And Perils Of Tokenizing Securities

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    Tokenizing listed securities offers the promise of greater efficiency, accessibility and innovation, but a recent U.S. Securities and Exchange Commission statement makes clear that the federal securities laws continue to apply to tokenized securities, so financial institutions and technology developers must work together to create clear rules, say attorneys at Orrick.

  • High Court Cert Spotlights Varying Tests For Federal Removal

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    A recent decision by the U.S. Supreme Court to review Chevron v. Plaquemines Parish, a case involving the federal officer removal statute, highlights three other recent circuit court decisions raising federal removal questions, and serves as a reminder that defendants are the masters of removal actions, says Varun Aery at Hollingsworth.

  • How Cos. In China Can Tailor Compliance Amid FCPA Shifts

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    The U.S. Department of Justice’s recently updated Foreign Corrupt Practices Act enforcement guidelines create a fluid business environment for companies operating in China that will require a customized compliance approach to navigate both countries’ corporate and legal systems, say attorneys at Dickinson Wright.

  • 7 Ways Employers Can Avoid Labor Friction Over AI

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    As artificial intelligence use in the workplace emerges as a key labor relations topic in the U.S. and Europe, employers looking to reduce reputational risk and prevent costly disputes should consider proactive strategies to engage with unions, say attorneys at Baker McKenzie.

  • Open Banking Is On Ice As ÃÛÌÒÊÓÆµ Seeks To Toss Its Own Rule

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    Even as the Consumer Financial Protection Bureau's efforts to toss its open banking rule play out in Kentucky federal court, it remains statutorily required to effectuate consumer access to data, raising questions about how it would replace the previously finalized standard, say attorneys at Cooley.

  • SEC, FINRA Obligations In Changing AI Regulatory Landscape

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    Despite the U.S. Securities and Exchange Commission's recent withdrawal of its proposed artificial intelligence conflict rules, financial regulators remain focused on firms developing the correct AI compliance framework, as well as continuously testing and supervising them to ensure they're fit for purpose, say attorneys at Cahill Gordon.

  • Trump Air Emissions Carveouts Cloud The Regulatory Picture

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    President Donald Trump's new proclamations temporarily exempting key U.S. industries from air toxics standards, issued under a narrow, rarely-used provision of the Clean Air Act, will likely lead to legal challenges and tighter standards in some states, contributing to further regulatory uncertainty, say attorneys at GableGotwals.

  • Series

    Playing Baseball Makes Me A Better Lawyer

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    Playing baseball in college, and now Wiffle ball in a local league, has taught me that teamwork, mental endurance and emotional intelligence are not only important to success in the sport, but also to success as a trial attorney, says Kevan Dorsey at Swift Currie.

  • What US Medicine Onshoring Means For Indian Life Sciences

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    Despite the Trump administration's latest moves to onshore essential medicine manufacturing, India will likely remain an indispensable component of the U.S. drug supply chain, but Indian manufacturers should prepare for stricter compliance checks, says Jashaswi Ghosh at Holon Law Partners.

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