Media & Publications

A detailed breakdown of the SEC's investigation workflow, from tip intake through Wells Notice and enforcement action, written from the perspective of a former SEC enforcement attorney.

An analysis of the specific sections of the Form S-1 registration statement that attract the most SEC comment letters, including risk factors, use of proceeds, MD&A, and related-party transactions.

A comprehensive analysis of Rule 144 holding period requirements, affiliate status determination, and the enforcement risks associated with tradability opinions in going-public transactions.

An examination of the most common Regulation D violations that trigger SEC enforcement actions, including general solicitation failures, accredited investor verification deficiencies, and Form D filing failures.

A detailed analysis of how the SEC detects, investigates, and prosecutes insider trading, including surveillance triggers, investigation workflow, tipper-tippee liability, and Rule 10b5-1 plan risks.

Going Public: Legal Considerations for Emerging Growth Companies

A comprehensive overview of the legal process for taking a company public, including Form S-1 preparation, SEC comment letter response, underwriter selection, and post-IPO compliance obligations.

SEC Enforcement Priorities: What Issuers Need to Know

An insider's perspective on current SEC enforcement priorities, common triggers for investigation, and best practices for building a compliance program that reduces enforcement risk.

Insider Trading Compliance: Designing Effective Trading Policies

A practical guide to designing and implementing insider trading compliance programs, including trading window policies, pre-clearance procedures, and Rule 10b5-1 plan best practices.