Legal Insights & Updates

Rule 102(e) permits the SEC to deny practice privileges to professionals found to lack qualifications, integrity, or who engage in unethical or improper professional conduct.

SEC Rule 10b-5 represents the SEC's foundational anti-fraud regulation established under Section 10(b) of the Securities Exchange Act of 1934.

The Howey Test is a legal framework used in the United States to determine whether a particular transaction qualifies as an investment contract and therefore…

Tipper-tippee liability represents a legal doctrine prosecutors leverage to prosecute individuals trading on insider information despite lacking direct corporate affiliation.

If you face investigation by the SEC or have received a subpoena or civil complaint, you need an experienced securities regulatory defense attorney to protect…

FINRA enforces compliance with numerous state and federal laws and regulations. Learn what triggers a FINRA investigation and how to protect your brokerage firm.

The SEC functions as the primary federal agency regulating the securities industry. Learn when to hire an SEC defense attorney and how early intervention can…

A whistleblower complaint can immediately transform your SEC compliance program from a proactive measure into a critical defense tool. Learn what to do when a…

The SEC maintains significant authority to investigate individuals and companies suspected of breaching securities laws and can disclose investigations through subpoena issuance, testimony requests, and…

SEC and PCAOB fines against auditors have hit all-time highs. Learn about the enforcement triggers, recent cases, and immediate steps auditors must take.