Category Archives: Uncategorized

How California’s Climate Disclosure Rules Are Reshaping M&A Due Diligence for Private Companies in 2026

Learn how California's climate disclosure rules affect M&A due diligence for private companies. Orange County [...]

30
Apr
Illustration of prediction markets regulation showing traders placing event contract bets on political and geopolitical outcomes tied to insider trading concerns
Prediction Markets, Insider Trading, and Congress Ethics Risk

Prediction markets have moved from niche trading platforms into the center of political and regulatory [...]

19
Mar
Business professionals reviewing confidential financial documents related to insider trading rules and securities law compliance in corporate finance.
Insider Trading Explained: Rules, Risks, and Securities Law

What Is Insider Trading? Insider trading refers to the purchase or sale of securities using [...]

16
Mar
SEC Chair Gary Gensler discussing the impact of artificial intelligence on securities regulation and investor protection.
The SEC’s Perspective on AI and Securities Regulation: Key Takeaways from Chair Gary Gensler

23
Apr
IS INSIDER TRADING WORTH THE RISK
March 7, 2022

The Securities and Exchange Commission (SEC) recently obtained a criminal conviction against a former Pharmaceutical [...]

Fiduciary Duties: Potential Reform?

A fiduciary is a person or entity that is required to act in the best [...]

28
Sep
15c2-11 Reforms – A New Era for OTC Securities

16
Sep
What is the SEC?

What is the SEC?  The SEC (Securities and Exchange Commission) is a large independent agency [...]

16
Aug
Parallax Charged for Misleading Information in an Attempt to Boost Stock Price

The SEC charged Parallax for releasing misleading information about its Covid-19 diagnostic product to boost [...]

12
Aug
SEC Charge Against GadGuido

SEC Charge Against GadGuido. On June 30, 2021, the Securities and Exchange Commission (the “SEC”) [...]

09
Aug