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NFA reminded futures commission merchants ("FCMs") and retail foreign exchange dealers ("RFEDs") that the upcoming Christmas and New Year's Day holidays will impact the regulatory filing schedules for certain daily financial statements.

The NFA will amend NFA Compliance Rule 2-9 (Supervision) and a related Interpretive Notice ( FCM and IB Anti-Money Laundering Program) to reflect changes in FinCEN's final rules...

It is illegal under the Securities Exchange Act to make false or misleading statements to the investing public about material facts.

In April, I wrote about AB 2431 which modifies the statement of information a statement requirement for LLCs. In 2020, the legislature enacted AB 3075 (Gonzalez)...

Welcome to the second episode of a series on Business Exit Strategies. Listen in as Vandenack Weaver Partner Mike Weaver joins our host, Mary Vandenack, Founder and Managing Partner at Vandenack Weaver...

Outside and in-house lawyers may of course normally claim privilege protection for their investigation-related communications, as long as they were primarily motivated by the need for legal advice.

In the healthcare investment arena, a consistent issue that comes up in transactions involving practice management businesses and practice acquisitions.

I recently appeared on an episode of North Fulton Business Radio X to highlight the importance of the Corporate Transparency Act (CTA), which will affect 30 million...

ESG (environmental, social, and governance) is safely part of the business lexicon and continues its march from a "nice to have" to a way of doing business.

Since the onset of the COVID-19 pandemic, the number of whistleblower complaints received by regulators has exploded on both sides of the Atlantic.

The New York Stock Exchange (NYSE) on June 5, 2023, filed an amendment to its incentive compensation clawback...

On Wednesday, December 11, 2019, the NYSE resubmitted proposed rules to the SEC to enable capital raises through direct listings ("Primary Direct Listings").

On April 3, 2020, the New York Stock Exchange (the "NYSE") filed with the Securities and Exchange Commission (the "SEC") a proposal to temporarily waive certain shareholder approval requirements...

On April 3, 2020, the New York Stock Exchange (the "NYSE") filed with the Securities and Exchange Commission (the "SEC") a proposal to temporarily waive certain shareholder ...

Yesterday, OFAC announced amendments to the Cuba embargo that will further restrict the ability of U.S. companies to process remittances to or from Cuba.

Authorizing Transactions Involving Securities of Certain Communist Chinese Military Companies.

In this episode, partner Jason Betts speaks with Michael Pelly, legal reporter at Capital Brief and former legal affairs editor at the Australian Financial Review, about the key developments shaping corporate litigation in Australia.