Log in or register
Share on LinkedInShare on LinkedIn

VIDEO · 23 APRIL 2025

Securities Docket Weekly Update - March 21 (Video)

Gesmer Updegrove LLP
Gesmer Updegrove LLP
Contributor
Gesmer Updegrove LLP

Gesmer Updegrove LLP

The Firm Gesmer Updegrove LLP is a Boston-based law firm serving technology companies, emerging...

View firm profile
Explore more from Gesmer Updegrove LLP

Join me as I break down the top securities enforcement and regulatory developments shaping the industry this week! Don't forget to like, comment, and subscribe for weekly updates...

United StatesCorporate/Commercial Law
Braeden Anderson
Braeden Anderson

Join me as I break down the top securities enforcement and regulatory developments shaping the industry this week! Don't forget to like, comment, and subscribe for weekly updates! 👊🏽🇺🇸

In this episode:

  1. SEC Drops Ripple Case – Ripple beats the SEC after spending $150M in legal fees, but a $125M penalty over XRP sales still hangs in the balance.
  2. Paul Weiss Dropped Over Trump Order – A major law firm loses a white-collar client due to political fallout. What does this signal for the legal industry?
  3. Securities Enforcement Forum Heads to Los Angeles – Join over 40 SEC and DOJ officials on May 15, 2025, at the Waldorf Astoria Beverly Hills. Discount codes: – In-Person: BLAST310LA25 – Virtual: BLAST310V25

We operate a free-to-view policy, asking only that you register in order to read all of our content. Please login or register to view the rest of this article.

Register for freeORLog in

The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.

View source

Related Articles

Legal Intelligence Newsletters: sign up for the latest legal and regulatory news on your chosen topics

Read more about

Related Comparative Guides

See more popular content from

Article

Healthcare Trends & Transactions Q2 2026

Healthcare M&A activity maintained steady momentum through Q2 2026, driven by physician practice consolidation, AI-enabled technology acquisitions, and strategic outpatient expansion. Private equity investment persisted despite intensifying regulatory scrutiny of MSO arrangements, while digital health buyers paid significant premiums for platforms demonstrating production-grade AI capabilities and proprietary data assets.
United StatesCorporate/Commercial Law
Bass, Berry & Sims PLC
Bass, Berry & Sims PLC
Article

CLIENT ALERT: 2026 Mid-Year Update On SEC And CFTC Enforcement

The SEC and CFTC have fundamentally shifted their enforcement approach in 2026, moving away from high-volume technical violations toward targeted actions addressing serious fraud and market manipulation. This mid-year update examines new leadership priorities, enhanced inter-agency coordination, revised cooperation policies, the elimination of "no-deny" settlement provisions, and a landmark Supreme Court ruling on disgorgement that collectively reshape the regulatory landscape for market participants.
United StatesCorporate/Commercial Law
Sher Tremonte
Sher Tremonte
Article

FINRA Rule 3290 Approved: Rebuilding Outside-Activities Supervision

The SEC has approved FINRA's consolidated Rule 3290, which will replace existing outside-activities rules for broker-dealer employees. While approval marks a regulatory milestone, firms must distinguish it from effectiveness and use the transition period strategically to rebuild disclosure forms, risk assessment frameworks, supervisory conditions, and compliance records before the rule takes effect.
United StatesFinance and Banking
Gesmer Updegrove LLP
Gesmer Updegrove LLP
Article

CFTC Scrutiny Of Polymarket Puts Prediction-Market Compliance In Focus

The CFTC's investigation into Polymarket signals a regulatory shift beyond jurisdictional questions to focus on operational controls, marketing practices, and consumer protection in prediction markets. As regulators scrutinize promotional content, simulated trading, and U.S. access restrictions, platforms face heightened compliance expectations around affiliate supervision, influencer disclosures, and the accuracy of customer-facing claims.
United StatesFinance and Banking
Gesmer Updegrove LLP
Gesmer Updegrove LLP
Article

Delaware Earnout Decisions And Lessons For Founders And M&A Professionals

Two recent Delaware Court of Chancery decisions illustrate why the answer belongs in the acquisition agreement. In re Saama Technologies Litigation, decided September 28, 2026, and ACON Igloo Holdings, LLC v. Dometic Corporation, decided September 30, 2026, address disputes over efforts to achieve an earnout and the buyer’s response. For deal participants, the practical lesson is to negotiate the operating rules and calculation process with the same care as the headline payout.
United StatesCorporate/Commercial Law
Gesmer Updegrove LLP
Gesmer Updegrove LLP
Article

Digital IDs And Customer Identification: What FinCEN’s New FAQs Mean For Onboarding

Financial institutions face new questions about accepting state-issued mobile driver's licenses and other government-issued verifiable digital credentials under customer identification programs. The September 2026 guidance from FinCEN and federal banking agencies clarifies when banks and credit unions may rely on these digital credentials, but leaves critical implementation decisions about technology, validation, and reasonable-belief standards to each institution.
United StatesFinance and Banking
Gesmer Updegrove LLP
Gesmer Updegrove LLP