Securities Law

16 Apr
2018
Business and Corporate Law, Estate Planning, Securities Law
By Mary O'Connor
Investment | Farrow-Gillespie & Heath

Uncertainty Continues Around “Fiduciary Rule” Protections for Retirement Investors

The last 40 years have seen a marked change in retirement benefits, with fewer employer-sponsored defined benefit plans, more defined contribution plans (including 401(k) plans and Simplified Employee Pension (SEP) plans), and a proliferation of individual retirement accounts (IRA).  These changes have raised questions among regulators about the protections available to employees who are now […]

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17 Apr
2017
Business and Corporate Law, Securities Law
By Mary O'Connor
Mary O'Connor | Farrow-Gillespie & Heath LLP | Dallas, TX

The SEC’s reach may be longer than you think

Privately-owned businesses and individuals can be surprised to receive a subpoena from the U.S. Securities and Exchange Commission requiring them to produce extensive documents or give testimony. What does the SEC do, and how does it touch on private companies and private individuals? The Role of the SEC in Enforcing Securities Laws By its own […]

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