Covers laws and regulations governing the offer, sale, and trading of securities and investment products, including registration and disclosure requirements, broker-dealer and investment adviser compliance, and investor protections. Addresses enforcement actions, fraud and insider trading, corporate financing and public offerings, and related SEC and state regulatory issues.
In 2026, regulators ruled a DeFi protocol operated as a securities exchange under existing law. The decision hinged on how trades were matched, who controlled governance, and whether users accessed securities markets. This article explains the ruling, the legal tests applied, and what it means for DeFi compliance and enforcement. When DeFi Met the Law: […]
Securities fraud is a financial crime where someone uses deception or market manipulation to induce investors to buy, sell, or hold securities. It often includes false statements, insider trading, pump-and-dump schemes, or accounting fraud and can trigger SEC action and private lawsuits. This article explains what securities fraud is, how to spot red flags, and […]
