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The Securities Litigation and Regulatory Enforcement resource Web site provides legal news, trends, and insights into navigating the complexities of the Securities Exchange Commission (SEC), U.S. Department of Justice (DOJ), Financial Industry Regulatory Authority (FINRA), Texas State Securities Board, and other state securities regulators. This is a go-to resource for broker dealers (BDs), investment advisers (IAs), general counsel (GCs) and directors and officers (D&Os) throughout Texas and across the nation. Learn more

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Broker Dealer, General Counsel & D&O, Investment Adviser

SEC Brings “Naked Short Selling” Case

“Naked short selling” is often claimed by struggling public companies to be the source of their woes. But there have been relatively few cases addressing naked short selling. Recently, however…

Broker Dealer, General Counsel & D&O, Investment Adviser

SEC Investment Advisers: Texas says “April Fools!” to Federal Preemption?

On April 1, 2021, the Texas State Securities Board (TSSB) announced the entry of a Consent Order against an SEC registered investment adviser named Independent Financial Group, LLC (“Independent”). The…

Broker Dealer, General Counsel & D&O, Investment Adviser

SPACs in the Spotlight: Skyrocketing Deal Volume Invites Regulatory Scrutiny

Capital raising through Special-Purpose Acquisition Companies (“SPACs”) has gone through the roof in the last two years. Last year was by far the single highest deal value for SPACs, and…

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SEC Brings “Naked Short Selling” Case

SEC Investment Advisers: Texas says “April Fools!” to Federal Preemption?

SPACs in the Spotlight: Skyrocketing Deal Volume Invites Regulatory Scrutiny

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