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US and EU roll out stricter due diligence rules US order shifts focus: President Trump’s May 19 order directs regulators to enhance customer due diligence, expand ownership transparency, and integrate immigration-related risk indicators. EU harmonizes PEP rules: The EU AML Regulation standardizes PEP definitions and prescribes stricter due dili...

Supreme Court holds that federal courts retain jurisdiction over post-award motions when claims were previously stayed under FAA Section 3 On May 14, 2026, the U.S. Supreme Court issued a unanimous decision in Jules v. Andre Balazs Props., No. 25-83, 2026 WL 1336216 (U.S. May 14, 2026). The Court held that when a federal district court stays a lawsuit and refers the dispute to arbitration pursuant to Section 3 of the Federal Arbitratio...

SEC Proposes Transformative Reforms to Help Public Companies Conduct Registered Offerings and Simplify Reporting Requirements Secure .gov websites use HTTPS A lock () or https:// means you’ve safely connected to the .gov website. Share sensitive information only on official, secure websites.

(submitted by FEND Securities Expert Witness)

FINRA Launches Review of Higher-Risk Structured Products FINRA will examine how firms supervised worst-of structured notes from 2022 through last year, focusing on best interest compliance

What Small Firms Need to Know About Due Diligence | PLANADVISER According to FINRA, small broker/dealer firms should strategically use their limited resources to conduct effective due diligence on private and public offerings.

Justices validate authority of federal courts to confirm arbitration awards – at least in cases already in federal court (Daniel Slim/AFP via Getty Images)Yesterday’s opinion in Jules v. Andre Balazs Properties firmly validated the authority of federal courts to enforce arbitration awards made in cases already pending in federal court. The case is important for the practice of arbitration because it follows directly...

US SEC proposes allowing public companies to opt out of quarterly earnings reports Wall Street's top regulator on Tuesday proposed ​allowing U.S.-traded companies to switch from quarterly to twice-annual earnings reports, pursuing an idea President Donald Trump has personally pushed during both his ‌presidencies.

(submitted by FEND Securities Expert Witness)

FINRA remains under pressure Congressional hearings in March laid bare the severe doubts some lawmakers in Washington have about FINRA, the giant self-regulatory organization that oversees the securities industry.

Due diligence guided workflows in legal tech How AI-powered guided workflows are helping law firms complete due diligence in hours while improving consistency across deals.

ARBITRATION DENIED: The Court Denies Arbitration Even After Selection Including Terms of Use Hi TCPAWorld! We all know that arbitration provisions are a good way to protect against class action lawsuits. Well, the Northern District of Texas gave us a bit of guidance on how to ensure that provision is enforceable in Horton v. LeafFilter N. LLC, No. 3:25-CV-2318-X-BN, 2025 WL 2638665, at *1 (...