Inconceivable: The Princess Bride Fences with SEC and FINRA Enforcement Matters from May 2021

From Brian Rubin and Jessica Rodgers in this month’s column for NSCP Currents:

This year marks the 35th Anniversary of the classic movie, The Princess Bride. According to the movie, the story is about:

Fencing. Fighting. Torture. Revenge. Giants. Monsters. Chases. Escapes. True love. Miracles. 

In other words, many of the elements we regularly see in enforcement actions. “Inconceivable” as it may sound, we can make a case for all of them, with the possible exception of “True love.” (Although, let’s be honest, who among us doesn’t love a cleverly drafted legal argument or a well-written Form ADV?)

Read more here.  As you wish. . . .

Learn How the SEC Works. . .

Securities lawyers need to have a firm grasp of not only the federal securities laws, but also how the SEC works to administer these laws.  At this half-day program, you will learn about the federal securities laws and the operating divisions at the SEC that administer those laws, as well as the other agencies that the SEC interacts with on a regular basis.

Securities Law and Practice 2021