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Oral Arguments Held in Challenge to OCC’s Fintech Charter

USA - March 24 2021 On March 9, 2021, the Second Circuit heard oral arguments in connection with the New York Department of Financial Services’ (“DFS”) challenge to…

Alexander J. Gershen, Carolee Anne Hoover, Salwa S. Kamal.

SEC Announces a New Climate and ESG Task Force

USA - March 5 2021 Yesterday, the Securities and Exchange Commission (SEC) announced a new “Climate and ESG Task Force” to be housed within its Division of Enforcement…

Allison D. Wood, E. Andrew Southerling, Elizabeth J. Hogan, John S. Moran, Louis D. Greenstein.

SEC 2021 National Exam Program Examination Priorities

USA - March 4 2021 On March 3, 2021, the Securities and Exchange Commission’s Division of Examinations (EXAMS) (formerly the Office of Compliance Inspections and…

Aline McCullough, Cheryl L. Haas, Emily P. Gordy.

SPAC Litigation Likely to Surge in 2021

USA - February 1 2021 Despite the challenges posed by COVID-19, 2020 saw an eruption of IPOs by special purpose acquisition companies (SPACs), used to raise nearly $79…

Brian D. Schmalzbach, Matthew D. Fender, Rakesh Gopalan, Stephen Older.

Congress Affirms and Extends SEC’s Disgorgement Powers

USA - January 13 2021 On January 1, 2021, the United States Senate joined the House of Representatives in overriding President Trump’s veto, and the National Defense…

Clare E. Reardon, E. Andrew Southerling, Jennifer E. Matthes, Louis D. Greenstein, Michael Francisco.