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On December 8, 2016, the US Securities and Exchange Commission announced that Enforcement Director Andrew J. Ceresney will leave the agency by the end of the year.

Last year, the SEC's Division of Enforcement launched the "Municipalities Continuing Disclosure Initiative" offering "favorable settlement terms" to municipal issuers and underwriters who self-report continuing disclosure violations.

Recently, Larry Fink, the CEO of BlackRock, the world's largest asset manager, took a noteworthy step in an open letter he wrote to the CEO's of all publicly traded companies.

Kathryn Wylde, President and CEO of the Partnership for New York City, joins host Howard Schweitzer to reflect on her decades leading one of the nation's most influential business organizations.

Bestselling author, decision strategist, and former professional poker player Annie Duke joins Howard Schweitzer, chief executive officer of Cozen O'Connor Public Strategies...

WilmerHale Partner Louis Tompros is interviewed and profiled for his dedication to pro bono work by the Equal Justice Coalition.

ESG Proposals Surge As SEC Raises Bar On No-Action Rules.

Happy summer... while you were away on holiday (still working through virtual time off), the regulators have been busy identifying Environmental Social and Governance (ESG) reporting standards...

On February 3, 2017, a guide was published by ESMA that looked at major holdings notifications under the Transparency Directive.

Jason D'Angelo is quoted in Bloomberg BNA: Corporate Law & Accountability Report in the article "Exclusive Forum Clauses Offer Few Issues Lots of Upside in Protecting Deals: Experts."

We have revised and republished a summary chart of exempt offering alternatives.

On today's episode, our host Mary Vandenack, CEO, Founder and Managing Partner at Vandenack Weaver Truhlsen and her guest, Lara Sass, an estate planning attorney in New York City serving high net worth clients, ...

Governor Jeremy C. Stein spoke at the Crowdfunding for Community Development Finance Conference today.

CFTC amendments to rules concerning chief compliance officer ("CCO") duties and certain annual report requirements were published in the Federal Register.

As part of organizational restructuring, the CFTC moved the Surveillance Branch of the Division of Market Oversight ("DMO") to the Division of Enforcement ("DOE").

The SEC requested comments on a FINRA proposal to amend FINRA Rule 12504 of the Code of Arbitration Procedure for Customer Disputes...

The SEC requested comments on a FINRA proposal to amend the Code of Arbitration Procedure for Customer Disputes, and the Code of Arbitration Procedure for Industry Disputes.