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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 Significant SPAC Enforcement Action

On July 13, the SEC announced charges against an array of participants in a de-SPAC transaction.[1] Among those charged are the SPAC, the SPAC’s sponsor, the SPAC’s CEO, the…

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

SEC Conducts Sweep of Customers Impacted by SolarWinds Cyber Breach

Reuters reported today that the SEC is investigating last year’s hack of SolarWinds, focusing on whether SEC registrants failed to disclose that they had been impacted by the cyber breach.…

Businessman offering a choice for stock traders of buy, hold or sell in a conceptual image

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…

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SEC Brings Significant SPAC Enforcement Action

SEC Conducts Sweep of Customers Impacted by SolarWinds Cyber Breach

SEC Brings “Naked Short Selling” Case

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