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Compliance & Legal
Legal Research
Court opinions, regulatory guidance, and enforcement actions. AI-summarized.
Financial Compliance
SEC, OCC, FDIC, Fed, FINRA, CFPB, FASB, and state banking regulators. One feed.
Insurance Compliance
State commissioner bulletins, NAIC model laws, and DOI enforcement actions.
Environmental Compliance
EPA enforcement, state environmental agencies, PFAS regulatory updates.
Data Privacy
State AG privacy enforcement, FTC actions, CPPA rulemaking, and HIPAA enforcement.
Tax Compliance
IRS guidance changes and state tax department bulletins.
AML Compliance
FinCEN, OCC, FDIC, Fed, FATF, and banking regulator enforcement.
Labor & Employment
NLRB decisions, EEOC guidance, DOL wage updates, and 50-state labor law changes.
Immigration Law
USCIS policy changes, visa bulletin updates, CBP processing changes.
Industry
Pharma & Life Sciences
FDA warning letters, drug approvals, ICH guidelines, EMA updates, and DEA scheduling.
Energy & Utilities
FERC orders, state PUC decisions, and energy regulatory changes.
Cybersecurity
CISA KEV catalog, ICS-CERT, NSA advisories, NIST CSF, and FedRAMP updates.
Healthcare Compliance
CMS transmittals, OIG work plan, HIPAA enforcement, and Medicaid updates.
Trade & Procurement
Recent changes
Oklahoma Court of Criminal Appeals Adopts 2026 Jury Instructions
The Oklahoma Court of Criminal Appeals has adopted the 2026 revisions to the Oklahoma Uniform Jury Instructions-Criminal (Second Edition). These updated instructions, submitted by the Committee for Preparation of Uniform Criminal Jury Instructions, are effective immediately and will be provided to District Courts for implementation.
SEC v. Zachary Miller - Administrative and Cease-and-Desist Proceedings
The SEC has instituted administrative and cease-and-desist proceedings against Zachary Miller for acting as an unregistered broker in connection with fraudulent and unregistered securities offerings. Miller allegedly raised approximately $18.3 million from investors.
SEC Institutes Proceedings Against Canaccord Genuity LLC for Failing to File SARs
The SEC has instituted administrative and cease-and-desist proceedings against Canaccord Genuity LLC for failing to file approximately 150 Suspicious Activity Reports (SARs) related to its equity trading activities between February 2019 and March 2022. The firm allegedly failed to maintain an adequate AML surveillance program.
SEC charges EisnerAmper LLP with improper professional conduct
The SEC has instituted administrative and cease-and-desist proceedings against EisnerAmper LLP for improper professional conduct during its 2020 audit of the Infinity Q Diversified Alpha Fund. The firm allegedly failed to obtain sufficient understanding of internal controls, gather adequate evidence, and exercise due professional care, violating PCAOB auditing standards.
SEC Institutes Cease-and-Desist Proceedings Against NYSE
The SEC has instituted cease-and-desist proceedings against the New York Stock Exchange (NYSE) LLC. This action stems from a critical systems disruption on January 24, 2023, which caused NYSE to fail to run opening auctions for 2,824 securities, leading to market-wide impacts including thousands of busted trades.
SEC Bars Joel Castellanos for Unregistered Securities Sales
The SEC has barred Joel Castellanos from associating with any broker, dealer, or other regulated entity. Castellanos was found to have solicited and raised at least $25.2 million from over 1,222 investors through unregistered securities sales, acting as a sales agent for MJ Capital Funding, LLC.
Delaware Court of Chancery Land Dispute Ruling
The Delaware Court of Chancery issued a final ruling in a land dispute case (C.A. No. 2023-0601-LM). The court granted plaintiffs' claim for adverse possession regarding a portion of the disputed land, while denying their other claims for prescriptive easement or easement by necessity.
In re Trust of Marsha Milot - Trust Information Dispute
The Vermont Supreme Court ruled on a trust dispute concerning a beneficiary's right to information. The court reversed and remanded a lower court's decision, finding that while the trust remains revocable, the beneficiary is not entitled to all information sought under the Vermont Trust Code, but the probate division erred by not considering a request to amend the complaint to seek the removal of a co-trustee.
Hawai'i Government Employees Association v. Department of Public Safety - Order of Correction
The Intermediate Court of Appeals of the State of Hawai'i has issued an order of correction for its opinion in Hawai'i Government Employees Association v. Department of Public Safety. The correction involves minor edits to specific words and punctuation within the published opinion.
McAneeley v. Fukushima - Injunction Against Harassment Appeal
The Intermediate Court of Appeals of the State of Hawaiʻi issued a summary disposition order in the case of McAneeley v. Fukushima. The appeal concerned an injunction against harassment, with the appellant raising issues of due process and freedom of speech. The court affirmed the lower court's decision.
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