What Is Control Person Liability?
Section 20(a) of the Securities Exchange Act imposes liability on corporate executives and shareholders for acts of the companies they oversee.
What Is Neither Admit Nor Deny?
SEC and DoJ settlements often contain "neither admit nor deny" provisions that can have significant consequences. Understanding this language is critical for settlement negotiations.
What Is SEC Rule 102(e)?
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.
What Is SEC Rule 10b-5?
SEC Rule 10b-5 represents the SEC's foundational anti-fraud regulation established under Section 10(b) of the Securities Exchange Act of 1934.
What Is the Howey Test?
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…
What Is Tipper-Tippee Liability?
Tipper-tippee liability represents a legal doctrine prosecutors leverage to prosecute individuals trading on insider information despite lacking direct corporate affiliation.
What to Look for in an SEC Defense Lawyer
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…
What Triggers a FINRA Investigation?
FINRA enforces compliance with numerous state and federal laws and regulations. Learn what triggers a FINRA investigation and how to protect your brokerage firm.
When Should I Hire an SEC Defense Attorney?
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…
Whistleblower Triggered SEC Investigation – Now What?
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…