Tag: Securities Lawyer

Form 10-K, Form 10-Q
Corp Finance Investors

Introduction to Form 8-K

Lawyer Form 8-K: A Comprehensive Guide for Investors In the realm of finance, staying abreast of the latest corporate developments is crucial for investors aiming to make well-informed decisions. Whether it’s a company unveiling its quarterly earnings, another grappling with auditor concerns that might signal trouble, or a third navigating […]

Enforcement

SEC Charges HG Vora for Disclosure Failures

On March 1, 2024, the Securities and Exchange Commission (SEC) announced that it has brought an enforcement action involving HG Vora Capital Management LLC, a New York-based investment advisory firm. This case underscores the critical importance of timely and transparent ownership disclosures in the financial world, especially in the context […]

SEC 2024 Broker-Dealer Examination Priorities
Compliance Enforcement Investors

SEC Expands Trading Bans for Staff

The SEC has recently announced a significant overhaul of its ethics rules. These changes, designed to fortify and update the SEC’s ethics compliance framework, expands the prohibited securities transactions for the Staff and their families Strengthening the SEC’s Ethical Framework At the heart of this initiative is the collaborative effort […]

finra broker check
Primer

FINRA Broker Check

Broker Check was designed as an attempt at transparency and accountability in the world of investments, offering investors a powerful tool to research and evaluate the background and qualifications of brokers and brokerage firms. Often criticized as an invasion of brokers’ rights, containing unsworn and unproven allegations against financial professionals, […]