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  • John C. Coffee, Jr. – Boeing and the Future of Deferred Prosecution Agreements By John C. Coffee, Jr.
  • Leveraging Information Forcing in Good Faith By Hillary Sale
  • The Dark Side of Safe Harbors Comment bubble 2 By Susan C. Morse
  • John C. Coffee, Jr. – Mass Torts and Corporate Strategies: What Will the Courts Allow? By John C. Coffee, Jr.
  • Compliance’s Next Challenge: Polarization By Miriam H. Baer
  • Will the Common Good Guys Come to the Shootout in SEC v. Jarkesy? And Why It Matters By Eric W. Orts
  • Climate Disclosure Line-Drawing and Securities Regulation By Virginia Harper Ho
  • Board Committee Charters and ESG Accountability By Lisa M. Fairfax
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Columbia Law School's Blog on Corporations and the Capital Markets

Editorial Board John C. Coffee, Jr. Edward F. Greene Kathryn Judge

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SEC

Securities Regulation and Administrative Law in the Roberts Court

By David Zaring May 19, 2025 by renholding

In a new essay, I compare a judicial revolution that is happening with one that is not. Both the change and the status quo are being managed by the current Supreme Court. , When it comes to administrative law, the …

SEC Chair Speaks at Conference on Financial Market Regulation

By Paul S. Atkins May 19, 2025 by renholding

In order to keep the compliance folks here at the SEC happy, I must first note that the views I express here today are my own and do not necessarily reflect those of the full Commission or of my fellow …

Covington & Burling Discusses Three Political Law Landmines for Hedge Funds, Private Equity Funds, and Investment Firms

By Zachary G. Parks and Derek Lawlor May 16, 2025 by renholding

Last year, an asset manager with offices in New York, Texas, and Vermont was publicly censured by the Securities and Exchange Commission and ordered to pay a substantial fine. Its offense?  The asset manager hired an individual who had previously …

Shadow SEC: The PCAOB Should Be Carefully Reviewed, Not Hastily Abolished

By John Coates, John C. Coffee, Jr., James D. Cox, Merritt B. Fox and Joel Seligman May 14, 2025 by renholding

We write in opposition to the hasty and opaque efforts underway to abolish the Public Company Accounting Oversight Board (PCAOB), the nonprofit organization that oversees audits of public companies and SEC-registered brokers and dealers in the United States, currently overseen …

SEC Chair Speaks on Tokenization at Crypto Task Force Roundtable

By Paul S. Atkins May 13, 2025 by renholding

The topic of this afternoon’s discussion is timely as securities are increasingly migrating from traditional (or “off-chain”) databases to blockchain-based (or “on-chain”) ledger systems.[1]

This movement of securities from off-chain to on-chain systems is akin to the transition of
…

Shadow SEC: FCPA Books and Records Requirements Must Be Vigorously Enforced

By John Coates, John C. Coffee, Jr., James D. Cox, Merritt B. Fox and Joel Seligman May 12, 2025 by renholding

President Trump signed on February 10 an executive order (the “Executive Order”)[1] directing the U.S. Attorney General over the next 180 days to (i) review the guidelines and policies governing investigations and enforcement actions under the Foreign Corrupt Practices …

1 Comment  

Arnold & Porter Discusses SEC Staff Issuance, Revision, and Withdrawal of C&DIs for Rule 10b5-1

By Sara Adler and Joel I. Greenberg May 12, 2025 by renholding

On April 25, 2025, the SEC Staff issued two new Compliance and Disclosure Interpretations (C+DIs) with respect to Rule 10b5-1. Under the first (Qu. 120.32), the Staff advised that purchases and sales of issuer securities pursuant to a …

SEC Commissioner Peirce Proposes Safe Harbor, Sandbox for Crypto on Blockchain

By Hester M. Peirce May 9, 2025 by renholding

Welcome to the penultimate day of the SEC’s 31st International Institute for Securities Market Growth and Development. Before I begin, as I am sure you anticipate based on what you have heard from many SEC speakers this week, my …

1 Comment  

U.S. Banking Agencies’ Shift Toward Crypto Integration

By David Krause May 8, 2025 by renholding

In April 2025, the landscape of U.S. crypto regulation shifted significantly. Three of the country’s principal bank regulators – the Federal Reserve, the Office of the Comptroller of the Currency (OCC), and the Federal Deposit Insurance Corporation (FDIC) – jointly …

SEC Chair Atkins Speaks at Small Business Capital Formation Advisory Committee Meeting

By Paul S. Atkins May 7, 2025 by renholding

Good morning.  Today is the sixth-year anniversary of the first-ever meeting of the Small Business Capital Formation Advisory Committee.[1]  Since that initial meeting, I have followed the discussions and recommendations by this Committee from outside the agency.  Now it …

How Corporate Lobbying Can Undermine Governance Rulemaking

By Qianzhou Du, Jiekun Huang, Pengfei Ye and Qiaozhi Ye May 5, 2025 by renholding

Corporations play an increasingly active role in lobbying, with a growing focus on influencing government rulemaking. According to the Center for Responsive Politics, corporate lobbying expenditures at the federal level reached a record $3.7 billion in 2024, accounting for 86.3 …

The Partisan Divide Over Value and Values in State Pension Funds

By Dhruv Aggarwal, Lubomir Litov and Shivaram Rajgopal May 1, 2025 by renholding

Whose interests do public pension funds serve? On the one hand, they have a fiduciary duty to maximize value for the pension fund participants whose retirement savings they invest. On the other, they can use their considerable ownership stakes to …

The GENIUS Act Needs a Rule on Extraterritoriality

By Benedikt Bartylla April 29, 2025 by renholding

Congress seems on its way to passing the first piece of federal crypto-regulation, the Guiding and Establishing National Innovation for U.S. Stablecoins – or GENIUS – Act. The law would create a comprehensive regulatory framework for payment stablecoins, which are …

Uniswap’s Reprieve Reveals the Uncertainty of DeFi Regulation

By Richard Fair April 28, 2025 by renholding

In 2024, the Securities and Exchange Commission (SEC) issued Wells notices to at least 13 crypto companies – several of which were decentralized finance (DeFi) platforms –  including Uniswap Labs (Uniswap), the second largest decentralized exchange (DEX) by trading volume

…

Paul Weiss Discusses Section 11 Liability for Companies Going Public Through Direct Listing

By Alison R. Benedon, Andrew J. Ehrlich, David P. Friedman, Audra J. Soloway and Daniel S. Sinnreich April 16, 2025 by renholding

On April 4, 2025, a federal district court in Colorado dismissed a Section 11 claim arising out of a direct listing and concluded that recent Supreme Court precedent “likely forecloses Section 11 liability in the direct listing context” altogether. The …

Davis Polk Discusses SEC’s New Flexibility on Draft Registration Statements

By Maurice Blanco, Roshni Banker Cariello, Derek Dostal, Joseph A. Hall and Michael Kaplan April 14, 2025 by eorozco

The SEC’s Division of Corporation Finance has announced improvements to its policies for draft registration statements that will be welcomed by both companies and underwriters.

Following recent statements by Acting SEC Chair Mark Uyeda calling for a return to the …

Ropes & Gray Discusses SEC Guidance on Effectiveness of Form S-3s Before Proxy Statement Filing

By Craig Marcus, Thomas Fraser, Christopher Capuzzi and Kunle Deru April 11, 2025 by renholding

The Bottom Line

  1. Form S-3 registration statements filed by issuers who are not well-known seasoned issuers may now be declared effective before the filing of the proxy statement containing Part III information that was properly omitted from the issuer’s timely
…

A&O Shearman Discusses SEC Staff Position on USD-Backed Stablecoins

By F. Dario de Martino, Susan Gault-Brown, C. Wallace DeWitt and Bill Satchell April 10, 2025 by renholding

On April 4, 2025, the staff of the SEC’s Division of Corporation Finance (the “Staff”) issued a statement addressing the status of certain stablecoins under the U.S. securities laws.

The statement concludes that a narrow class of USD-backed, fully reserved, …

SEC Acting Chair Speaks on Federal and State Securities Cooperation

By Mark T. Uyeda April 9, 2025 by renholding

Good morning and welcome to the annual conference on federal and state securities cooperation, organized jointly by the North American Securities Administrators Association (“NASAA”) and the U.S. Securities and Exchange Commission (“SEC” or “Commission”).[1]  Inside the SEC, this gathering …

SEC Offers Views on Stablecoins

By Securities and Exchange Commission April 7, 2025 by renholding

As part of an effort to provide greater clarity on the application of the federal securities laws to crypto assets,[1] the Division of Corporation Finance is providing its views[2] on certain types of crypto assets commonly referred to …

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Each business day, our team sifts through blog posts, news stories, and other sources to keep up-to-date on relevant recent developments. The following links will take you to our recommended selections. To see the sources we follow click Filter Sources.

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Wall Street Journal
Microsoft, OpenAI to Extend Partnership
September 11, 2025
Bloomberg
Paramount Readies Warner Bros. Bid
September 11, 2025
Dealbook
Klarna Debut Suggests IPO Revival
September 11, 2025
Securities and Exchange Commission
New Corporation Finance Chief Named
September 11, 2025
McDermott Will
DOJ, FTC Speed Up Merger Reviews
September 11, 2025
Bloomberg
SEC Near Dual-Class Fund Decision
September 10, 2025
Delaware Business Litigation Report
Delaware Chancery Finds Class Rep Sought Excessive Incentive Award
September 10, 2025
ThinkAdvisor
SEC Sued Over Accredited Investor Rule
September 10, 2025
Financial Times
SEC Targets Firms Tied to Suspected Chinese Pump and Dump Scam
September 10, 2025
Corporate & Securities Law Blog
Ninth Circuit Clarifies the SEC’s Disgorgement Standard
September 10, 2025
Wall Street Journal
Inflation Erased Income Gains Last Year
September 9, 2025
Bloomberg
Trump Floats New China, India Tariffs
September 9, 2025
D&O Diary
What Happens to Parallel Derivative Suits If Securities Class Actions Settle?
September 9, 2025
Cointelegraph
Senate Bill: Token Stocks Are Securities
September 9, 2025
Delaware Corporate & Commercial Litigation Blog
Delaware Supreme Court Clarifies Requirements for Aiding and Abetting
September 9, 2025
Freshfields' A Fresh Take
FTC Temu Case Clarifies INFORM Act
September 8, 2025
The Governance Beat
Big Three Split Stewardship in Two
September 8, 2025
The FinReg Blog
Crypto Everything Everywhere at Once
September 8, 2025
Securities and Exchange Commission
Cross-Border Task Force to Fight Fraud
September 8, 2025
CoinDesk
Nasdaq Seeks SEC OK on Stock Tokens
September 8, 2025
Wall Street Journal
Tech’s New Gig Is in Battlefield Data
September 7, 2025
Bloomberg
Fed Chair Finalist Hassett Backs “Mission Creep” Criticism
September 7, 2025
Deal Lawyers.com
Nasdaq Proposes SPAC-Listing Change
September 7, 2025
Corporate & Securities Law Blog
Ninth Circuit Rules Market Slogan Alone Not Actionable Under Rule 10b-5
September 7, 2025
Business Law Prof Blog
Tesla Surprises With Musk-Pay Proxy
September 7, 2025
Reuters
FTC Acts Against Worker Noncompetes
September 4, 2025
New York Times
Porsche No Longer German Blue Chip
September 4, 2025
Freshfields' A Fresh Take
Ninth Circuit Greenlights Broad Use of Discovery In Foreign Proceedings
September 4, 2025
CoinDesk
SEC Probes Coinbase on User Number
September 4, 2025
Bloomberg
SEC Wells Process Due for Reform
September 4, 2025
Wall Street Journal
Court Says Harvard Trump Cuts Illegal
September 3, 2025
Bloomberg
NY Giants Sell Stake to Koch Family
September 3, 2025
Dealbook
Investors Think Google Got Spared
September 3, 2025
Reuters
SEC to Offer More Supervisor Buyouts
September 3, 2025
Securities and Exchange Commission
SEC Sues Over $770 Mln Ponzi Scheme
September 3, 2025
Bloomberg
U.S. Judge: Google Can Keep Chrome
September 2, 2025
Dealbook
Fining X May Upend US-EU Trade Deal
September 2, 2025
D&O Diary
Dow Chemical Hit With Tariffs-Related Securities Lawsuit
September 2, 2025
Deal Lawyers.com
Intel Files 8-K Detailing U.S. Stake
September 2, 2025
Corporate & Securities Law Blog
U.S. Court Blocks Enforcement of Texas Proxy Adviser Disclosure Law
September 2, 2025
Wall Street Journal
Crypto Launch Enriches Trumps by $5 Bln
September 1, 2025
Delaware Business Litigation Report
Delaware Chancery Enforces “Hell or High Water” Provision to Close Merger
September 1, 2025
Reuters
Musk Seeks End to SEC Twitter-Stake Suit
September 1, 2025
New York Business Divorce
NY Appraisal Law Really Is Exclusive
September 1, 2025
Corporate & Securities Law Blog
U.S. and UK M&A Practices Diverge
September 1, 2025
Wall Street Journal
Fed Governor Sues to Stop Firing
August 28, 2025
FCPA Professor
SEC Leaves FCPA Enforcement Gaps
August 28, 2025
Bloomberg
SEC Staff Cuts Threaten Filing Reviews
August 28, 2025
Delaware Corporate & Commercial Litigation Blog
Chancery Explains Dissolution Nuances
August 28, 2025
Deal Lawyers.com
Are SPACs Goldilocks Path to Public?
August 28, 2025
Wall Street Journal
Microsoft Probes Workers After Protest
August 27, 2025
Reuters
Delta Ends Fuel Dump Suit for $79 Mln
August 27, 2025
New York Times
French Political, Debt Crises Loom
August 27, 2025
Bloomberg
SEC Slams Nikola Bankruptcy Plan
August 27, 2025
Corporate & Securities Law Blog
Texas Proxy Disclosure Law Debuts
August 27, 2025
Wall Street Journal
Exxon Held Talks for Return to Russia
August 26, 2025
Bloomberg
Teen Suicide to Prompt ChatGPT Update
August 26, 2025
Reuters
Fed Governor Will Sue to Keep Job
August 26, 2025
Securities Regulation and Corporate Governance Monitor
Deadline Nears for Resource Extraction Issuers to File Form SD With SEC
August 26, 2025
Deal Lawyers.com
Delaware Chancery Cites Disclosure Schedule in Dismissing Fraud Claim
August 26, 2025
Bloomberg
Appeal Blocks Habba as US Attorney
August 25, 2025
Wall Street Journal
Musk’s xAI Sues Apple, OpenAI
August 25, 2025
Delaware Business Litigation Report
Delaware Chancery Nixes Interlocutory Appeal When Case Nears End
August 25, 2025
The Governance Beat
EDGAR Next Debut Poses Challenges
August 25, 2025
Delaware Corporate & Commercial Litigation Blog
Delaware Chancery Awards Fees for Breach of Forum Selection Clause
August 25, 2025
Bloomberg
Apple to Redo iPhone Over 3 Years
August 24, 2025
New York Times
What Does AI Sell-Off Portend?
August 24, 2025
The Governance Beat
Nevada Steps Toward Business Court
August 24, 2025
D&O Diary
When Must CEO Illness Be Disclosed?
August 24, 2025
King & Spalding
SEC Focusing on Retail Investor Fraud
August 24, 2025
Reuters
Fintech Firm Aspiration’s Co-Founder Pleads Guilty to Defrauding Investors
August 21, 2025
Wall Street Journal
Tariffs Rise, Walmart Wins Shoppers
August 21, 2025
Bloomberg
DOJ Urges Fed Governor’s Ouster
August 21, 2025
D&O Diary
NY Court Affirms Trump Civil Fraud Ruling, Vacates Massive Damages
August 21, 2025
Sidley Enhanced Scrutiny
Chancery Nixes Claims Against Directors for Not Probing Past Misconduct
August 21, 2025
Securities and Exchange Commission
SEC Names New Enforcement Chief
August 21, 2025
New York Times
Deal Would Value ChatGPT at $500 Bln
August 20, 2025
The Governance Beat
Texas Proxy Adviser Law Almost Live
August 20, 2025
The Block
SEC Chair Says Few Tokens Securities
August 20, 2025
Deal Lawyers.com
Delaware OKs Obscure DGCL Changes
August 20, 2025
Corporate & Securities Law Blog
Second Circuit Vacates Fraud Conviction in First Crypto Insider Trading Case
August 20, 2025
Reuters
US Seeks Equity in Intel for Cash Grants
August 19, 2025
Bloomberg
Meta Restructures AI Group Again
August 19, 2025
D&O Diary
Risk of AI Deepfake Attacks Grows
August 19, 2025
Wall Street Journal
SEC Fines Private Equity Firm TZP
August 19, 2025
M&A/PE Quarterly
“Entire Fairness” Cases Unpredictable
August 19, 2025
Freshfields' A Fresh Take
Recent Cases Offer First Look at New FCPA Enforcement Priorities
August 18, 2025
The Governance Beat
Board Agendas Getting Too Routine
August 18, 2025
D&O Diary
Losing the Face of the Company Quickly Leads to Securities Suits
August 18, 2025
PubCo @ Cooley
California Supreme Court Backs Delaware Forum-Selection Clauses
August 18, 2025
Deal Lawyers.com
Chancery Nixes Typical Non-Compete
August 18, 2025
Wall Street Journal
Disney’s Marvel Abandons Georgia
August 17, 2025
Dealbook
Corporate Governance’s Wild West
August 17, 2025
D&O Diary
CSR Score Can Mask Corporate Fraud
August 17, 2025
Bloomberg
SEC Sues IR Exec for Insider Trading
August 17, 2025
Business Law Prof Blog
Update: Texas, Nevada Reincorporation
August 17, 2025
Reuters
Senators Seek Meta Probe of AI Policy
August 14, 2025
Wall Street Journal
401(k)s More Tied to Stocks Than Ever
August 14, 2025
Bloomberg
Trump Administration Mulls Intel Stake
August 14, 2025
The Governance Beat
Glass Lewis Issues Annual Policy Benchmark Survey: The Primary Topics
August 14, 2025
Securities Regulation and Corporate Governance Monitor
SEC Launches Capital Markets Stats
August 14, 2025

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