SEC Regulations

The U.S. Securities and Exchange Commission is a federal agency which holds primary responsibility for enforcing the federal securities laws and regulating the securities industry, the nation’s stock and options exchanges, and other electronic securities markets in the United States.

Case Study

Securities Brokerage Expert in SEC Rule 144 and 145

A securities brokerage expert with specific knowledge of SEC Rule 144 & 145, was sought for a negligence case alleging reckless misrepresentation and unreasonable delay in action.

Case Study

144A Bonds Expert in Investment Banking

A 144A bonds expert was needed for an investment banking class action suit alleging auditing malpractice and breach of fiduciary duty.

Case Study

SEC Compliance Expert with NASD Rule 11140 Experience

An SEC compliance expert with experience interpreting was needed for litigation regarding securities fraud and violation of SEC Rules.

Case Study

Retail Securities Expert in the Sale of Corporate Bonds

A retail securities expert in the sale of corporate bonds to the retail bond sales market was requested for a professional malpractice case.