Robert A. Cohen

The Federal Trade Commission launched Operation AI Comply, announcing enforcement actions against five companies for alleged deception regarding artificial intelligence.  The FTC’s acti...

The SEC finalized a package of amendments to Regulation National Market System (Reg NMS) to reduce minimum pricing increments (or “ticks”) for certain stocks to half-penny increments,...

DOJ made changes to its Evaluation of Corporate Compliance Programs, the first since March 2023.  The changes focus on the management of technology risk, including the use of artificial i...

The SEC announced the settlement of enforcement actions against seven companies, stemming from the use of employment and related agreements that allegedly violated Dodd-Frank whistleblowe...

DOJ’s new pilot program that will reward whistleblowers for reporting certain corporate or financial misconduct to the DOJ contains a number of significant surprises, including who is e...

A court rendered a mixed result in the SEC’s SolarWinds litigation. The court declined to dismiss the SEC’s claims that a website “Security Statement” overstated the strength of S...

In SEC v. Jarkesy, the Supreme Court held that the SEC must bring fraud claims seeking penalties in federal court instead of administrative proceedings because defendants are entitled to ...

The SEC expanded the scope of the Safeguards Rule, which already required broker-dealers, investment advisers and investment companies to have reasonably designed policies and procedures ...

A new proposal would require U.S. companies to comply with U.S. government cybersecurity standards before transferring bulk data to, or accepting investment from, companies based in targe...

DOJ recently announced that it will launch a pilot program to pay individual whistleblowers who report wrongdoing to the DOJ. The initiative supplements existing SEC, CFTC and other such ...