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The SEC's whistleblower office reported 3,923 tips in the last fiscal year, resulting in $37 million in awards for reporting securities violations.

In a no-action letter (the Relief) issued on Oct. 12, 2018, to the Independent Directors Council, the Securities and Exchange Commission staff (the Staff)...

SEC chairwoman Mary Jo White told a legislative hearing that the SEC will be paying additional attention to FINRA as the self-regulatory industry group begins its oversight of about 4,000 brokerages.

The Supreme Court granted a review of a case that could settle a dispute regarding what prosecutors must prove to obtain an insider trading conviction.

The SEC will discuss regulatory approaches to combat retail investor fraud at the March 8 meeting of its Investor Advisory Committee.

Without notice or the opportunity for public comment, as required by federal law, the Department of Labor (DOL) issued a regulation that will significantly raise the minimum required wages for...

A recent Employment Appeal Tribunal decision serves as a reminder of the importance of due diligence...

The U.S. Departments of Labor, Homeland Security and Justice have announced that significantly higher civil fines will be assessed against employers who commit Form I-9 and E-Verify violations.

The rule will take partial effect on June 9, with brokers and insurance agents not falling under certain aspects of the regulation until Jan. 1, 2018.

SEC commissioner Michael Piwowar filed a public comment letter with the Department of Labor that criticized the Obama-era Fiduciary Rule governing retirement investment advisers.

Environmental special counsel Toni L. Finger's article "9th Circ. Provides Clarity On CERCLA Contribution Claims" appeared in Law360's Expert Analysis column on Sept. 11, 2017.

On Thursday, February 3, 2016 the United States Supreme Court, in an order issued by Chief Justice John Roberts, refused to grant a stay of the Environmental Protection Agency's (EPA) Mercury and Air Toxics Standards...

KKR's acquisition of a quarter of Marshall Wace places the firm back in the race to become the world's leading alternative assets manager, the Wall Street Journal reports.

The SEC denied a request to list what would have been the first U.S. exchange-traded fund built to track bitcoin. Investors Cameron and Tyler Winklevoss have been trying for more than three years...

Susan Nash, associate director of the SEC's Division of Investment Management, will leave the agency at the end of January.

Balter Capital Management converted two existing hedge funds into liquid mutual fund wrappers.

Liquid alternatives specialist Balter Capital Management launched an all-capitalization long/short equity mutual fund in partnership with Invenomic Capital Management.

In this edition of our banking litigation podcast, we consider some recent cases that will be most relevant to in-house lawyers at banks and financial institutions.