About Us

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 counsels (GCs) and directors and officers (D&Os) throughout Texas and across the nation. Learn more

Our Team

Broker Dealer, Investment Adviser

You WILL (not May) Face the Heat

The Securities and Exchange Commission (SEC) recently announced other notable examples of the scrutiny being applied to investment advisers’ disclosures of conflicts of interest. The criticism is notably sharp on

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

What You Should Know About FINRA’s Exam Priorities for 2019

The Financial Industry Regulatory Authority (“FINRA”) recently published its Risk Monitoring and Examination Priorities Letter (the “Letter”) for 2019 and signaled its intent to expand the scope of its priorities

General Counsel & D&O

Update: The EB-5 Program Has Been Renewed . . . For Now

As a follow-up to our last post on the status of the EB-5 Program, the EB-5 Program has been renewed, at least for the short-term.

After the government shutdown ended,

Securities Litigation and Regulatory Enforcement

About Us

Our Team

Subscribe

Blog Posts

You WILL (not May) Face the Heat

What You Should Know About FINRA’s Exam Priorities for 2019

Update: The EB-5 Program Has Been Renewed . . . For Now

About Winstead