ABOUT US GEOGRAPHIES CAREERS DIVERSITY PEOPLE SERVICES NEWS THOUGHT LEADERSHIP INFO HUBS + SHARE PRINT Securities Regulation and Enforcement OVERVIEW EXPERIENCE PEOPLE NEWS THOUGHT LEADERSHIP Baker Botts is positioned to guide its clients through the SEC enforcement process. Our lawyers assist domestic and international companies with various matters including compliance and reporting obligations and regularly represent public corporations, broker-dealers and individuals in enforcement proceedings before the SEC. Our experience with all phases of the investigative process is considerable and includes testimony before the SEC, responding to subpoenas, preparing Wells submissions, and litigation against the SEC. We defend SEC investigations in all areas of the securities regulation law, including, among other things: Corporate Communications Accounting Insider Trading Market Manipulation Mutual Fund & Hedge Fund Probes Sale of Unregistered Securities FCPA UK Bribery Act Global Anti-corruption We have Securities Regulatory lawyers in all our domestic offices that practice before the SEC, state securities regulators and self-regulatory organizations. With a host of SEC alumni and an NASD (now FINRA) alumna resident in our Washington and New York offices, the firm provides an informed and sure-handed approach to advising clients on the issues that arise in the context of the federal securities laws and regulations. Contacts Alex J. Bourelly Partner Seth T. Taube Senior Counsel Bridget Moore Partner VIEW ALL RELATED PEOPLE Practices Enforcement and Investigations FCPA, UK Bribery Act and Global Anti-Corruption Investigations Toolkit Securities and Shareholder Litigation White Collar Defense and Corporate Investigations Click Below To Access Our Investigations Toolkit People By Last Name A B C D E F G H I J K L M N O P Q R S T U V W X Y Z Services Sectors Energy Technology Practices / Industries Antitrust & Competition Law Banking and Finance Corporate Enforcement and Investigations Environmental Law Intellectual Property Litigation Manufacturing Projects Real Estate Regulatory Tax Experience Practices / Industries Experience Antitrust and Competition Law Banking and Finance Corporate Enforcement and Investigations Environmental Law Intellectual Property Litigation Manufacturing Projects Real Estate Regulatory Tax View All > Regions Experience Asia Pacific Europe Latin America and Caribbean Middle East and Africa North America Russia and The CIS Info Hubs Energy Coronavirus Response Group PTAB Trials Technology News Media Resources News Coverage News Releases Interviews Recognitions Subscribe Thought Leadership External Articles Firm Thought Leadership Speeches & Presentations Videos, Webinars & Podcasts Events Events Geographies Austin Brussels Dallas Dubai Hong Kong Houston London Moscow New York Palo Alto Riyadh San Francisco Washington D.C. © 2021 Baker Botts L.L.P. DisclaimerAttorney AdvertisingCookiesPrivacy PolicyRegulatory InformationStatement on Modern Slavery Site Map Contact UsSubscribe If you choose to continue browsing this website, you are giving implied consent to the use of cookies. Accept