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Compliance Notes - Vol. 7, Issue 10

Nossaman LLP's Compliance Notes newsletter delivers essential updates on regulatory developments, legal requirements, and compliance strategies across multiple practice areas. This volume provides timely analysis of emerging compliance challenges and practical guidance for navigating complex regulatory landscapes. Legal professionals and compliance officers will find actionable insights to help their organizations maintain adherence to evolving standards.

United States Commercial

N

Nossaman LLP

New USPTO “Pre-Docketing Notice” Pilot Program Could Streamline Examination

The USPTO has launched a new pilot program that sends applicants advance notice approximately three months before their patent application enters substantive examination.

United States IP

FL

Foley & Lardner

DOJ Or OIG? What Healthcare Entities Should Know Before Self-disclosing

The US Department of Justice has introduced a groundbreaking department-wide corporate enforcement policy offering declination from criminal prosecution for companies that voluntarily self-disclose misconduct, while the HHS Office of Inspector General maintains its separate Health Care Fraud Self-Disclosure Protocol with distinct benefits.

United States Commercial

SR

McDermott Will & Schulte

Patent Risks Of Using AI: Public Disclosure Concerns For Inventors

When inventors use external AI tools to brainstorm, refine technical explanations, or draft materials, they may inadvertently create patent-defeating public disclosures.

United States IP

SH

Stites & Harbison PLLC

SEC Proposes Reforms To Filer Status Categories And Expanded Disclosure Accommodations

United States Commercial

FL

Foley & Lardner

Mitigating Risk As Website Technology Litigation Surges

United States Privacy

WR

Wiley Rein

SEC Ends “Gag Rule” For Settlements

United States Commercial

SH

Shook, Hardy & Bacon

Negotiating Data Processing Agreements: Customer And Vendor Perspectives

United States Privacy

OG

Outside GC

CMMC Assessments And The Hidden Risk Of ITAR Violations

United States International

TT

Torres Trade Law, PLLC

Goodbye, Green Disclosures: SEC Proposes Full Withdrawal Of Climate-Related Disclosure Requirements

United States Commercial

MB

Mayer Brown

Dechert Provides Comments To U.S. Antitrust Agencies On Effectiveness Of Hart-Scott-Rodino Premerger Notification Requirements

United States Anti-trust

D

Dechert

DOJ Settlement With Agri Stats And Recent Speech Signal Heightened Scrutiny For Information Sharing Among Competitors And Algorithmic Pricing Tools

United States Anti-trust

WD

Wiggin & Dana

Indiana Businesses Should Heed DOJ's Self-Disclosure Policy

United States Criminal

BT

Barnes & Thornburg LLP

Beyond TCPA Compliance: Why CTIA Messaging Principles Should Shape Your SMS Campaign Design

United States Privacy

HK

Holland & Knight

Insurance Coverage Leasing Lessons From A Slip-and-Fall Dispute

United States Insurance

KM

Katten Muchin Rosenman LLP

The Trump Administration’s Security-for-Minerals Model Faces Test In The DRC

Worldwide Government

SJ

Steptoe LLP

Tips From Seyfarth: Florida Expands Disclosure Requirements For Automatic Charges

United States Employment

SS

Seyfarth Shaw LLP

Ankura CTIX FLASH Update – May 11, 2026

United States Technology

AC

Ankura Consulting Group LLC

Betting On Trouble: Insider Trading Arrests And The Senate’s Prediction Market Ban

United States Finance

LB

Lewis Brisbois Bisgaard & Smith LLP

Swaps Or Sportsbooks? The CFTC's Expanding Battle Over Prediction Markets

Federal and state regulators are locked in a jurisdictional battle over prediction markets, with the CFTC asserting these platforms constitute derivatives trading under federal law while states argue...

United States Finance

PR

Proskauer Rose LLP

CFTC Announces New Cooperation Policy — Key Takeaways And Analysis

The CFTC's Division of Enforcement has introduced a new policy framework for evaluating cooperation and self-reporting in enforcement matters, effective immediately. This policy supersedes previous guidance...

United States Finance

ML

Milbank LLP

Beneficial Ownership Reporting Update In B.V.I. – From Filing Obligations To Enforcement Risks

In a previous article for Insights,1 the new British Virgin Islands (“B.V.I.”) beneficial ownership information (“B.O.I.”) reporting regime was considered in the context of wider transparency developments affecting offshore financial centers.

United States Commercial

RP

Ruchelman PLLC

When AI Crosses The Line: Deepfakes, Harassment, And Employer Liability (Video)

As deepfake technology becomes more accessible, employers are facing new risks with the use of artificial intelligence and workplace conduct. In this episode of “A-I Didn’t Know...

United States Employment

LS

Lowenstein Sandler

What Every Multinational Should Know About … The New Rules For Section 232 Tariffs On Steel, Aluminum, And Copper Derivatives

United States International

FL

Foley & Lardner

Patent Risk In Data Centers: A Legal Q&A For Operators And Developers

United States IP

B

Bracewell

How Should AI And SaaS Companies Structure Data Governance And Global Compliance? (Video)

United States Commercial

G

Gamma Law

Five Compliance Best Practices For … Customs Recordkeeping

United States International

FL

Foley & Lardner

Boilerplate Provisions In Contracts (Video)

United States Commercial

BB

Beresford Booth

Federal Judge Denies Marsh’s Motion To Dismiss In ERISA Health Plan Suit

United States Employment

HB

Hall Benefits Law

SEC's Updated Qualified Client Standards Take Effect 29 June 2026

United States Finance

KG

K&L Gates LLP

Sixth Circuit Rejects Heightened Evidentiary Standard For Preliminary Injunctions In Trade Secret Cases: PCC Airfoils, LLC v. Daugherty

United States Litigation

BL

Butzel Long

Pharmacy Change Of Ownership Transactions: Why CHOW Must Be Handled Correctly

United States Healthcare

BI

Buchanan Ingersoll & Rooney PC

Foreign Entity Registration: What Every Multi-State Business Should Know

United States Commercial

Aa

Adams and Reese

SEC's Updated Qualified Client Standards Take Effect 29 June 2026

The United States Securities and Exchange Commission’s (SEC) inflation adjustment to the qualified client thresholds under Rule 205-3 of the Investment Advisers Act of 1940 will become effective on 29 June 2026...

United States Finance

KG

K&L Gates LLP

Sixth Circuit Rejects Heightened Evidentiary Standard For Preliminary Injunctions In Trade Secret Cases: PCC Airfoils, LLC v. Daugherty

Federal district courts in the Sixth Circuit have spent years applying a heightened evidentiary burden to preliminary injunction motions in trade secret cases, requiring movants to prove every factor by clear...

United States Litigation

BL

Butzel Long

Pharmacy Change Of Ownership Transactions: Why CHOW Must Be Handled Correctly

Buying or selling a pharmacy is not like buying or selling an ordinary retail business. A pharmacy is a licensed healthcare operation. It holds state pharmacy permits, controlled substance registrations...

United States Healthcare

BI

Buchanan Ingersoll & Rooney PC

Foreign Entity Registration: What Every Multi-State Business Should Know

Operating a business across state lines requires careful attention to foreign entity registration requirements. While maintaining an office or employing workers in another state almost certainly triggers registration obligations...

United States Commercial

Aa

Adams and Reese

New Guidance For Share-Based Compensation Performance Conditions

United States Accounting

GGI Global Alliance

2026 International Tax Reform Guide For CFOs And Tax Directors

International tax reform in 2026 introduced structural changes that affect how global income is classified, included, deducted, and limited.

United States Tax

MG

MGO CPA LLP

FCTM Breaking News: CFTC Approves U.S. Bitcoin Perpetual Futures Contract And Issues Related Guidance

On May 29, 2026, the Commodity Futures Trading Commission (CFTC) took a series of coordinated actions to establish a domestic regulatory framework for perpetual contracts on digital commodities.

United States Finance

LS

Lowenstein Sandler

Financial Services AI Risk Management Framework: Expanded Controls For The Financial Services Industry

In Feb. 2026, a public-private partnership headed by the U.S. Department of the Treasury concluded an investigative process aimed at strengthening cybersecurity and risk mitigation for AI in the financial services sector.

United States Finance

TS

Taft Stettinius & Hollister

Recent DOJ Settlements, Statements Provide Guidance To Manage Information Sharing Antitrust Risk

Recent DOJ settlements with RealPage and Agri Stats reveal heightened scrutiny of competitor information exchanges, particularly involving pricing software and benchmarking services.

United States Anti-trust

WR

Wiley Rein

DOJ’s New West Coast Health Care Fraud Strike Force: What Digital Health Companies Need To Know

United States Criminal

HK

Holland & Knight

Ad Law News And Views - April 2026

United States Privacy

KD

Kelley Drye & Warren LLP

Thinking About Selling Your Business? Here’s What To Do First.

United States Commercial

MM

McLane Middleton, Professional Association

New York Appellate Court Upholds Workaround to Federal Preemption on State Sales Tax

United States Tax

GT

Greenberg Traurig, LLP

Colorado’s Artist Company Act: A New Model For Creative Investment

United States Commercial

LB

Lewis Brisbois Bisgaard & Smith LLP

Clover Insurance v. HHS: S.D. Of Georgia Holds 20 Star Ratings Measures Unlawful

United States Healthcare

CM

Crowell & Moring LLP

FinCEN Issues Updated FAQs Following Vacatur of Residential Real Estate Reporting Rule

United States Government

GT

Greenberg Traurig, LLP

U.S. Attorney’s Office For The Northern District Of Illinois Announces Innovative Individual Self-Disclosure Program

United States Criminal

SH

Shook, Hardy & Bacon

California Attorney General Settlement With Aspen Dental Scrutinizes MSO Structures In Healthcare Industry

United States Commercial

BB

Bass, Berry & Sims

New AI Incident Reporting Program Proposed For DOD

United States Government

WR

Wiley Rein

Colorado AI Law In Flux: Comprehensive Replacement Bill Signed After Federal Court Blocks Predecessor’s Enforcement

United States Technology

SR

McDermott Will & Schulte

ISS Challenges Indiana’s New Proxy Advisor Disclosure Law

United States Commercial

SM

Sheppard, Mullin, Richter & Hampton LLP

SEC Ends Settlement “Gag Rule”

United States Commercial

FL

Foley & Lardner

Healthcare Trend Report: Digital Health

United States Healthcare

HK

Holland & Knight

Delaware Court Enforces D&O Coverage For SEC Disgorgement Settlement

United States Commercial

N

Nossaman LLP

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Highlighted Content

Mexico's 2026 Tax Regularization Program

United States Tax

BG

Braumiller Law Group, PLLC

New Value Manifest/Manifestacion De Valor – Via VUCEM

United States Commercial

BG

Braumiller Law Group, PLLC

DHS Audit Of CBP's Centers Of Excellence And Expertise Yields Evidence Of Mismanagement

United States International

BG

Braumiller Law Group, PLLC

OFAC Enforcement Trends – Lack Of Due Diligence In Mergers And Acquisitions

United States International

BG

Braumiller Law Group, PLLC

Complying With BIS's Advanced Computing And Semiconductor Manufacturing Rules – Knowledge, Due Diligence, And Technology Thresholds

United States Commercial

BG

Braumiller Law Group, PLLC

Primer On Forced Labor Enforcement For U.S. Importers

United States International

BG

Braumiller Law Group, PLLC

Forced Labor Due Diligence – Supply Chain Tracing Requirements To Comply With UFLPA, Withhold Release Orders, And More

United States Commercial

BG

Braumiller Law Group, PLLC

Antiboycott Compliance For U.S. Companies

United States Commercial

BG

Braumiller Law Group, PLLC

New Importer, Old Baggage - Successor Liability For Antidumping & Countervailing Duties

United States International

BG

Braumiller Law Group, PLLC

Customs And Border Protection's Recent FAQs On Forced Labor Enforcement Demonstrates The Growing Need For Forced Labor Compliance

United States International

BG

Braumiller Law Group, PLLC

Latest Videos

See more

Boilerplate Provisions In Contracts (Video)

BB

Beresford Booth

How Should AI And SaaS Companies Structure Data Governance And Global Compliance? (Video)

G

Gamma Law

AI Efficiency Does Not Equal Legal Protection For Your Brand (Video)

TS

Taft Stettinius & Hollister

Cultural Flashpoints Vidcast: Conversations That Matter (Video)

SS

Seyfarth Shaw LLP

Culture & Compliance Chronicles: Inside The Wirecard Scandal—Whistleblowing, Retaliation & Reform With Pav Gill (Podcast)

RG

Ropes & Gray LLP

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