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NASAA Proposes Four Exemptions for State Registrations
The North American Securities Administrators Association (“NASAA”) has proposed four exemptions to state registration and disclosure requirements, representing a welcome effort to standardize exemptions at the state level. The proposed exemptions were circulated for public review on July 1, and the comment period ended on Aug. 1. The proposal can be found at www.nasaa.org/issues___answers/regulatory_activity/14627.cfm.
Fifteen states have some form of registration requirement beyond the federal disclosure requirements overseen by the Federal Trade Commission (“FTC”). After the proposed state exemption rules are finalized, each state would decide whether or not to adopt the rules, or to modify the exemptions developed by NASAA.
The DOJ's Corporate Enforcement Policy: One Year Later
The DOJ's Criminal Division issued three declinations since the issuance of the revised CEP a year ago. Review of these cases gives insight into DOJ's implementation of the new policy in practice.
How AI Has Affected PR
When we consider how the use of AI affects legal PR and communications, we have to look at it as an industrywide global phenomenon. A recent online conference provided an overview of the latest AI trends in public relations, and specifically, the impact of AI on communications. Here are some of the key points and takeaways from several of the speakers, who provided current best practices, tips, concerns and case studies.
Use of Deferred Prosecution Agreements In White Collar Investigations
This article discusses the practical and policy reasons for the use of DPAs and NPAs in white-collar criminal investigations, and considers the NDAA's new reporting provision and its relationship with other efforts to enhance transparency in DOJ decision-making.
The DOJ's New Parameters for Evaluating Corporate Compliance Programs
The parameters set forth in the DOJ's memorandum have implications not only for the government's evaluation of compliance programs in the context of criminal charging decisions, but also for how defense counsel structure their conference-room advocacy seeking declinations or lesser sanctions in both criminal and civil investigations.
CLE Shouldn't Be the Only Mandatory Training for Attorneys
Each stage of an attorney's career offers opportunities for a curriculum that addresses both the individual's and the firm's need to drive success.