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Formal Order of Investigation

The federal securities laws authorize the SEC, or any officer designated by the SEC, to issue subpoenas requiring a witness to provide documents and testimony under oath. See, Section 19(c) […]

Dodd-Frank

The Dodd–Frank Wall Street Reform and Consumer Protection Act is a United States federal law that was enacted on July 21, 2010. Enacted as a result of the 2008 financial crisis the Act […]

Final Judgment

The final determination in a lawsuit, which ends the lawsuit. It typically contains all of the monetary awards, jury verdict, costs and other final relief, such as permanent injunctions.

Accredited Investor Definition

Under the federal securities laws, while a company may not offer or sell securities without registration with the SEC, there are a number of registration exemptions. Many exemptions require that […]