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On December 4, 2024, Duality Biologics ("DualityBio"), a clinical-stage biotech company focusing on the discovery and development of next-generation antibody-drug conjugate ("ADC") therapeutics...

On May 6, 2024, the Consumer Financial Protection Bureau (CFPB) announced that it filed a complaint ​and two proposed stipulated final judgments to resolve its claims...

On April 7, 2022, the Consumer Financial Protection Bureau (CFPB) announced it is proposing a rule that would assist survivors of human trafficking in achieving financial independence.

This month, the government is asking for a pair of 10-year prison sentences for two Gree USA Inc. executives convicted of failing to report defective humidifiers.

On March 9, 2022 the Arizona Attorney General (AG) filed a proposed consent judgment with a California-based lender and its corporate affiliates in Arizona state court.

On June 16, 2025, the New York Attorney General announced it had entered into a stipulated final judgment to settle its suit against ​a non-bank money transfer provider over alleged violations...

In September 2024, the SEC amended the rules and forms that govern how filers access and interact with its EDGAR electronic filing system.

If a company chooses to restate the entire Risk Factor section from its most recent Form 10-K report, the company should consider identifying the material new and revised risk factor disclosure...

On December 18, 2025, President Trump signed the National Defense Authorization Act ("NDAA") into law. Among its many provisions, Section 8103—titled the "Holding Foreign Insiders Accountable Act"...

The FTC has finally brought a lawsuit against a private equity firm based on a "roll-up scheme" in the healthcare space. The FTC filed its complaint in federal district court in Texas, alleging that Welsh, Carson...

The SEC has announced that Commissioner Mark Uyeda has been designated as Acting Chairman of the Securities and Exchange Commission.

Last August, Nasdaq adopted rules mandating that Nasdaq-listed operating companies disclose a Board Diversity Matrix either in an SEC filing or on their website.

Given all of the positive feedback we have received on our 2021-2022 Form 10-K Form Check Table, we decided to make our 2021-2022 Proxy Statement Form Check Table publicly available.

As a reminder, public companies with fiscal years ended September 30, 2024 must now disclose whether the company has adopted insider trading policies and procedures that apply to transactions involving the company's securities by its directors, officers and employees or the company itself in their upcoming annual reports on Form 10-K.

On March 6, 2024, the Securities and Exchange Commission (the SEC or Commission) adopted final rules requiring expansive new climate-related disclosures in Form 10-K and Form 20-F...

On August 27, 2025, the staff of the SEC's Division of Corporation Finance published new Exchange Act Rules Compliance and Disclosure Interpretation Question 130.05, which provides guidance on when an issuer may become an accelerated or large accelerated filer after it loses its status as a smaller reporting company.

Back in April 2022, we wrote about the SEC killing the Dealer/Trader distinction. We also noted then that it would come as no surprise to see the SEC re-propose amendments...