Q: Dear Ethics Lawyer, I am a three-year lawyer who recently went in-house after being an associate at a law firm. I now have some issues. I work with and for a more senior lawyer who is the Deputy General
Stinson LLP
Stinson LLP is a law firm that provides legal services across a range of practice areas. The firm publishes blogs and insights focusing on topics such as retirement plan regulations, financial restructuring, securities law, arbitration provisions, and regulatory developments affecting businesses and financial institutions. Their content often addresses compliance, risk management, and legislative updates relevant to corporate clients, plan sponsors, and financial service providers. Stinson LLP also highlights legal issues related to digital assets, tax law, and litigation risks, reflecting their engagement with evolving legal and regulatory environments. The firm emphasizes practical legal guidance tailored to client needs and industry trends.
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SEC Withdraws From Shareholder Proposal Review Process, Moves to Rescind Rule 14a-8
The Division of Corporation Finance (the Division) of the Securities and Exchange Commission (SEC) announced its complete exit from the shareholder proposal review process and formally signaled its intention to rescind Exchange Act Rule 14a-8.
On August 14, 2026, the…
September 1, 2026 Issue – Arguing for Current Client Adverse to Position Taken for Former Client
Q: Dear Ethics Lawyer, I know that in the past you have answered questions about so-called “positional conflicts,” when a lawyer or the lawyer’s firm argues opposing legal arguments for different current clients at the same time, and the limited…
SEC Proposes “Regulation Crypto Assets,” Creating a Tailored Offering Framework for Crypto Investment Contracts
On August 18, 2026, the Securities and Exchange Commission (SEC) proposed Regulation Crypto Assets, a new registration-exempt offering framework designed specifically for crypto assets. The proposal would create two exemptions from Securities Act registration; a conditional safe harbor under…
August 17, 2026 Issue – Conflict of In-House Lawyer with Former Employer
Q: Dear Ethics Lawyer, I am an in-house lawyer for a utility company, part of a six-person law department. For many years, I worked for a smaller utility company in another state before being recruited to my current employer/client. At…
SEC Signals Potential Vote this Year to Ease Adviser “Pay-to-Play Rule” Restricting Political Contributions
The Securities and Exchange Commission (SEC) signaled that it will likely move forward this year with a proposal to loosen the so-called “Pay-to-Play Rule” in Rule 206(4)-5 of the Investment Advisers Act of 1940 intending to restrict investment advisers from…
SEC Reviewing Nasdaq’s $5 Million Market Value Continued Listing Requirement
The Securities and Exchange Commission (SEC) stayed an approval order on August 6, 2026, regarding a Nasdaq rule change that imposes a new minimum Market Value of Listed Securities (MVLS) requirement of $5 million for all companies listed on the…
August 3, 2026 Issue – Attorney Bio Descriptors
Q: Dear Ethics Lawyer, I wish I had a pivotal trial practice question to ask you relating to some huge and important case, but alas what I have for you is a mundane question about bios and practice descriptions. Together…
SEC Proposes Regulation E-Delivery to Allow Electronic Delivery to Become the Default for Federal Securities Laws Communications
By Scott Gootee, Eric Mikkelson & Andrew Arbuckle
On July 21, 2026, the Securities and Exchange Commission (SEC) published proposed Regulation E-Delivery, a sweeping overhaul of the framework governing how issuers, broker-dealers, investment advisers and other SEC registrants deliver…
Supreme Court Holds SEC May Obtain Disgorgement Without Proof of Investor Financial Loss
By Scott Gootee & Andrew Arbuckle
On June 4, 2026, the U.S. Supreme Court unanimously held that the Securities and Exchange Commission (SEC) is not required to prove investors suffered pecuniary loss before seeking disgorgement of ill-gotten gains. The decision…