Too often regulators get bogged down in the minutiae of prescriptive laws and miss their core intent, says Teresa Goody ...

Key issues to consider before entering into a settlement with a securities regulator, including the scope of the regulators’ ...

What is the Uniform Securities Act? How can states adopt the Uniform Securities Act? What does the Uniform Securities Act protect against? What must a potential advisor do to register with the state?

How did federal racketeering and conspiracy charges against a politician and a 501(c)(4) organization controlled by him lead to another ...

The U.S. Court of Appeals for the Third Circuit entered an opinion in litigation involving Coinbase Global Inc. and the Securities and Exchange Commission. The federal appellate court explained ...

AI-related filings more than double and 1933 Act filings continue to decline. The number of securities class action filings ...

The key is to first understand the purpose of the federal securities laws ... asymmetry between buyers and sellers of securities. The Securities Act of 1933 and the Securities Exchange Act ...