SEC Defense
What Is a 10b5-1 Plan?
What Is a 10b5-1 Plan? Rule 10b5-1 sets forth the elements of the offense of insider trading and provides an affirmative defense for corporate inside...
February 5, 2026
SEC Defense
What Is a FINRA Investigation?
What Is a FINRA Investigation? FINRA Has Broad Authority to Investigate Broker-Dealers and Individual Brokers. If it Finds Evidence of Misconduct, It...
February 5, 2026
SEC Defense
What Is an SEC Deferred Prosecution Agreement?
What Is an SEC Deferred Prosecution Agreement? Our Former Federal Prosecutors and SEC Defense Attorneys Help Companies and Their Executives Secure Fa...
February 5, 2026
SEC Defense
What Is an SEC Whistleblower?
What Is an SEC Whistleblower? Meet the Whistleblowers The SEC whistleblower program operates under the Dodd-Frank Wall Street Reform and Consumer Pro...
February 5, 2026
SEC Defense
What Is Control Person Liability?
What Is Control Person Liability? Sec tion 20(a) of the Securities Exchange Act of 1934 establishes a federal financial fraud doctrine that imposes l...
February 5, 2026
SEC Defense
What Is Insider Trading?
What Is Insider Trading? Defending Clients Under Investigation for Insider Trading Insider trading is a term that the federal government uses to desc...
February 5, 2026
SEC Defense
What Is Market Manipulation?
What Is Market Manipulation? Market manipulation is a federal crime that involves artificially influencing the price of a sec urity or interfering wi...
February 5, 2026
SEC Defense
The SEC vs. the CFTC: Who Regulates Crypto and Why It Matters
The SEC vs. the CFTC: Who Regulates Crypto and Why It Matters The SEC and CFTC Want to Regulate Crypto. Their Turf War Is Playing Out in Federal Cour...
February 5, 2026
SEC Defense
What Is SEC Rule 102(e)?
What Is SEC Rule 102(e)? Companies listed on U.S. securities exchanges are subject to extensive oversight by the U.S. Securities and Exchange Commiss...
February 5, 2026
SEC Defense
What Is SEC Rule 10b-5?
What Is SEC Rule 10b-5? Rule 10b-5 is the SEC’s Primary Anti-Fraud Rule What is SEC Rule 10b-5? Rule 10b-5 is the U.S. Securities and Exchange Commis...
February 5, 2026