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 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 an SEC Whistleblower?
The SEC whistleblower program operates under the Dodd-Frank Act, enabling individuals to report securities law violations with structured protection and financial incentives.
Should I Self-Report to the SEC?
Self-reporting to the SEC represents a critical compliance decision for companies. The SEC actively encourages voluntary disclosure through incentives and enforcement actions.
Responding to an SEC Investigation: What You Need to Know
Receiving notification that you or your company faces an SEC investigation is deeply concerning. Two critical steps include securing legal representation and cooperating appropriately.
SEC Whistleblower Retaliation Claims
The SEC Whistleblower Program protects employees who report securities law violations from unlawful retaliation under the Dodd-Frank Act anti-retaliation provision.
SEC Settlement vs Going to Trial: What You Need to Know
When facing investigation by the SEC, the prospect of going to trial can be daunting. The decision to settle or go to trial is critical…
SEC Investigation of Lawyers
The SEC has increasingly expanded its enforcement agenda to include investigations and enforcement actions against attorneys in the securities industry.
SEC Cooperation Credit Explained
The SEC has adopted a policy of giving cooperation credit to companies that quickly and fully report potential violations, potentially reducing penalties.
The SEC vs the CFTC: Who Regulates Crypto and Why It Matters
The question of whether the SEC or the CFTC regulates cryptocurrency has major implications for crypto businesses and investors facing enforcement actions.