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Securities Litigation and Regulatory Enforcement

Resources for Broker Dealers, Investment Advisers, General Counsel, and Directors & Officers

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Broker Dealer

Financial Regulators Focus on Preservation of Ephemeral MessagingSEC Charges Public Company Executives with Insider Trading Despite Trading Through Purported Rule 10b5-1 Trading PlansSEC Expands and Renames Cyber Unit to “Crypto Assets and Cyber Unit”

General Counsel & D&O

Financial Regulators Focus on Preservation of Ephemeral MessagingSEC Charges Public Company Executives with Insider Trading Despite Trading Through Purported Rule 10b5-1 Trading PlansSEC Expands and Renames Cyber Unit to “Crypto Assets and Cyber Unit”

Investment Adviser

Financial Regulators Focus on Preservation of Ephemeral MessagingFlorida District Court Permits the SEC to Pay Disgorgement to the US Treasury Where Victims of the Fraud Could not be IdentifiedSEC Expands and Renames Cyber Unit to “Crypto Assets and Cyber Unit”

Uncategorized

SEC Probes into Advisers' Compliance with the Custody Rule for Digital AssetsSEC Files Subpoena Enforcement Action Against Covington & Burling, Seeking Names of Clients Impacted by Chinese State-Sponsored CyberattackAchieving Diversity and Inclusion within the Securities and Financial Management Industry and its Legal Partners

About this Site

The Securities Litigation and Regulatory Enforcement resource website 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.

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Winstead is a national business law firm with nearly 300 attorneys who serve as trusted advisors to emerging, mid-market and large companies, both public and private. The Winstead team provides a range of core legal services that are critical to our clients achieving their business goals. Winstead’s business transactions and litigation practices serve key industries including airlines, financial services, healthcare, higher education, investment management/private funds, life sciences, real estate, and sports business.

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