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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
Editor-At-Large Reynolds Holding

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

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securities enforcement

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 …

Comment  

Reforming Securities Litigation and Enforcement for ESG Disclosure

By Kevin S. Haeberle April 2, 2025 by renholding

In an earlier post, I discussed my paper arguing that significant changes to the corporate-disclosure regime should trigger review of aspects of the securities-fraud regime. This is because the disclosure regime and the securities-fraud regime go hand-in-hand. So if …

SEC Commissioner Dissents on Recent SPAC Cases

By Mark T. Uyeda January 2, 2025 by renholding

Since July 2023, the Commission has brought three cases against special purpose acquisition companies (SPACs) and/or SPAC sponsors, charging them with fraud because they made false and misleading statements regarding the details of their communications with potential target companies. I …

1 Comment  

How Low Can You Go?:  DOGE and the SEC

By Scott Kimpel November 27, 2024 by renholding

The proposed Department of Government Efficiency (“DOGE”) in incoming President Donald J. Trump’s administration promises an ambitious agenda of “regulatory rescission, administrative reductions and cost savings” with the goal of “mass head-count reductions across the federal bureaucracy” by July 4, …

1 Comment  

SEC Announces Enforcement Results for Fiscal Year 2024

By Securities and Exchange Commission November 25, 2024 by renholding

The Securities and Exchange Commission announced on November 22 that it filed 583 total enforcement actions in fiscal year 2024 while obtaining orders for $8.2 billion in financial remedies, the highest amount in SEC history.

The 583 enforcement actions represent

…

SEC Acting Enforcement Chief Speaks on Protecting Investors and Promoting Compliance

By Sanjay Wadhwa November 20, 2024 by renholding

I’d like to take the opportunity today to reflect on some of the goals and intentions that then-Director Gurbir Grewal and I, as his deputy, discussed when we assumed leadership of this remarkable Division three-plus years ago, and what I …

Ropes & Grey Discusses Second Trump Administration’s Implications for Asset Managers

By James D. McGinnis, Joshua A. Lichtenstein, Jonathan M. Reinstein and Jeremiah Williams November 15, 2024 by eorozco

On Wednesday, November 6, 2024, major media outlets announced Donald J. Trump as the winner of the 2024 U.S. presidential election.  This alert discusses the potential impact of Mr. Trump’s election on the U.S. Securities and Exchange Commission (the “SEC”) …

Seven Easy Pieces for a New SEC Chair

By Robert A. Cohen, Daniel P. Gibbons, Joseph A. Hall, Byron B. Rooney and Zachary J. Zweihorn November 12, 2024 by renholding

Last week’s election results signal a definitive end to the enforcement-only philosophy that for the last four years has characterized the SEC’s posture towards the crypto industry. It’s not realistic to think Congress and regulators will now simply adopt a …

SEC Acting Enforcement Chief Speaks on Past Year’s Achievements

By Sanjay Wadhwa November 8, 2024 by renholding

Good afternoon. Thank you to Bruce Carton for the invitation to speak today and for the kind introduction. I appreciate the opportunity to be able to talk to you about the work of the SEC’s Division of Enforcement.

As is …

Morrison & Foerster Discusses Top Five SEC Enforcement Developments for September 2024

By Haimavathi V. Marlier, Craig D. Martin, Nicole K. Serfoss, Michael D. Birnbaum and Mitchell E. Feldman October 25, 2024 by renholding

Each month, we publish a roundup of the most important SEC enforcement developments. This month included the SEC’s fiscal year end and a large number of enforcement actions of note, and we examine:

  • An ESG disclosure settlement relating to the
…

Watching the Watchdogs: Tracking SEC Inquiries Using Geolocation Data

By William Christopher Gerken, Steven Irlbeck, Marcus Painter and Guangli Zhang September 26, 2024 by renholding

The Securities and Exchange Commission plays a crucial role as the watchdog of Wall Street by detecting financial misconduct and enforcing securities laws, but much of its investigative process has remained opaque to researchers and the public. In a new …

Wachtell Lipton Discusses the SEC’s Disbanding of Its ESG Enforcement Task Force

By John F. Savarese, Wayne M. Carlin, David B. Anders and Carmen X.W. Lu September 20, 2024 by renholding

The U.S. Securities and Exchange Commission (“SEC”) has disbanded its Climate and ESG Task Force in the Division of Enforcement.  The Task Force was established in March 2021 with the purpose of identifying ESG-related misconduct, including material gaps or misstatements …

Wachtell Lipton Offers Summer Takeaways in SEC Enforcement

By John F. Savarese, Wayne M. Carlin and David B. Anders September 5, 2024 by renholding

With the Labor Day holiday now behind us, it is a good time to review the SEC’s active enforcement docket and to look ahead to likely areas of continuing enforcement attention as we head into the fall.  The record over …

SEC Enforcement Chief Speaks on Enforcing the Federal Securities Laws in the Age of Crypto

By Gurbir Grewal July 11, 2024 by renholding

I’m thrilled to be back at my law school alma mater. This is a special place – one that not only helped me hone my legal skills, but also one that helped mold me into a “citizen lawyer.”

For me,

…

SEC Enforcement Chief Discusses Five Principles of Effective Cooperation in Investigations

By Gurbir Grewal June 3, 2024 by renholding
This event, together with its East Coast and now Midwest counterparts, offers regulators like me a unique opportunity to speak directly to leaders of the securities bar about issues of mutual concern. That’s what I’d like to do this afternoon
…

The Big Lessons from the SEC Speaks Conference 2024

By Jonathan H. Hecht, Anne E. Railton and Anna Wittman April 26, 2024 by renholding

The SEC (U.S. Securities and Exchange Commission) recently hosted the 2024 SEC Speaks conference in Washington, DC. During the event, SEC leaders, including the Chair, commissioners, and senior staffers, shared their views about key priorities and trends in the enforcement …

Enforcement Chief Speaks on the “Why” of SEC’s Work

By Gurbir Grewal April 4, 2024 by renholding

Whether you’re here in person or participating virtually from around the country, or even overseas, I thank you for joining us.

As is customary, my remarks this morning are in my official capacity as Director of the Securities and Exchange …

Debevoise Discusses SEC’s Division of Enforcement Year-End Results

By Kara Brockmeyer, Andrew Ceresney, Robert Kaplan, Julie Riewe and Mary Jo White November 30, 2023 by renholding

On November 14, 2023, the U.S. Securities and Exchange Commission’s (“SEC” or “Commission”) Division of Enforcement (“Division”) announced its enforcement results for fiscal year (“FY”) 2023.[1] Disgorgement and penalties were the second highest in the SEC’s history at just …

Columbia Law School to Hold 2023 Conference on M&A and Corporate Governance

By Reynolds Holding November 27, 2023 by renholding

On December 8, 2023, Columbia Law School will hold its 2023 Conference on Mergers & Acquisitions and Corporate Governance. The event is co-sponsored by the school’s Ira M. Millstein Center for Global Markets and Corporate Ownership, the Columbia Law School …

SEC Announces Enforcement Results for Fiscal Year 2023

By Securities and Exchange Commission November 15, 2023 by renholding

The Securities and Exchange Commission announced that it filed 784 total enforcement actions in fiscal year 2023, a 3 percent increase over fiscal year 2022, including 501 original, or “stand-alone,” enforcement actions, an 8 percent increase over the prior fiscal …

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No Scotus Cert in Disgorgement Suit
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Freshfields' A Fresh Take
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The Governance Beat
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Company Risks Rise in Global Trade War
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Ripple Gets Back $75 Mln in Penalties
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Securities Regulation and Corporate Governance Monitor
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Crypto Enforcement Now Up to States
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Justice Department
DOJ Criminal Chief Speaks on FCPA
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U.S. Nuclear Energy Reboots
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Lawyer Richard Beattie Dies at 86
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What Can Directors Keep Private?
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Scotus Rejects Challenge to FINRA
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Reuters
SEC Says Existing Cuts Met DOGE Goal
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Wall Street Journal
DOJ Focus Narrows in FCPA Cases
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Firms Face New Climate Strategy EOs
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Disney Buys Comcast’s Hulu Stake
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Delaware Business Litigation Report
Delaware Chancery Nixes Liability for Wholly-Owned Subsidiary’s Parent
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New York Times
Meta in Talks to Invest in Scale AI
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Freshfields' A Fresh Take
SEC Rethinks Foreign Private Issuers
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Japan Sees Progress in U.S. Tariff Talks
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DOGE Staffers Fear Getting DOGE’d
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BlackRock, Vanguard in Collusion Case
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Structural Antitrust Remedies Are Back
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Digital CLARITY Act Faces Turbulence
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Reuters
Madoff Scam Recovery Tops $15 Billion
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Bloomberg
Is CFTC Headed for One Commissioner?
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Delaware Chancery Addresses Preferred v. Common Conflict in Firm Sale
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Internal Affairs Doctrine in the Hot Seat
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New York Times
Germans Buy EVs but Shun Teslas
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Freshfields' A Fresh Take
FTC Returns to Structural Remedies
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The Governance Beat
Most CEOs Want a Director Gone
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Sidley Enhanced Scrutiny
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Bloomberg
Ripple, Judge in Settlement Standoff
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Wall Street Journal
Wells Fargo Allowed to Grow Again
June 3, 2025
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Securities and Exchange Commission
Crypto Security Status Gets Muddier
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Reuters
Scotus Turns Away Challenge to FINRA
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D&O Diary
Circuit Split Means PSLRA Headache
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Barron's
SEC Will Suffer Long Musk Hangover
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Reuters
SEC Takes Aim at AI Washing
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Delaware Corporate & Commercial Litigation Blog
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CFIUS Boosts Foreign-Firm Enforcement
June 2, 2025
Securities Litigation & Enforcement
Securities Suit Settlements Get Smaller
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Begging for Crypto Bailouts Not OK
June 1, 2025
Bloomberg
How Trump Attacks on Regulators Threaten Agency Independence
June 1, 2025
Deal Lawyers.com
Delaware Chancery OKs Unequal Payments Under Good Faith Covenant
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Internal Affairs Doctrine Gets Workout
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Wall Street Journal
Oregon Puts PE Medical Deals at Risk
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U.S. Asks Judge to Dismiss Criminal Charge Over Boeing 737 Max Crashes
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Appeals Court Stays Tariff Halt
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U.S. Tightens China Chip Curbs
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New York Times
Porsche’s Tough Year Gets Tougher
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Nevada Moves Toward Business Court
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Bloomberg
Congestion Pricing Freeze Blocked
May 27, 2025
Reuters
U.S. Will have Golden Share in Nippon Steel’s Takeover of U.S. Steel
May 27, 2025
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Salesforce Strikes Deal for Informatica
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New York Times
Southwest Airlines Sets Baggage Fee
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Reuters
Nvidia to Launch Cheaper Blackwell AI Chip for China After U.S. Export Curbs
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Bloomberg
Xi Mulls New Made-in-China Plan
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Dealbook
Trump Takes on Apple
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Change Comes to State Corporate Laws
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