Securities Enforcement. Corporate Investigations. Financial Regulation.
Independent analysis of the laws, regulations, investigations, and enforcement actions shaping modern financial markets.
BRAEDEN ANDERSON
Braeden is one of the top securities lawyers in the country and was recognized by Best Lawyers: Ones to Watch® in America in the Financial Services Regulation Law and Securities Regulation categories. This honor is awarded to only the top 2% of attorneys in the United States and is based on a comprehensive peer-review survey.
Braeden helped lead Gesmer Updegrove to recognition in The Legal 500 United States for Corporate Investigations & White Collar Crime, Tier 3, and Finance: Fintech, Tier 4.
Braeden is active in the U.S. securities enforcement community through Securities Docket, where he has served on the 2025 and 2026 Advisory Boards and contributed video commentary through the Weekly Update.
Braeden was named the #1 United States author in FinTech in Mondaq’s Spring 2025 Thought Leadership Awards, reflecting the national reach and influence of his writing on fintech, securities regulation, and digital asset policy.
WisdomTree Files S-1 for Spot XRP ETF with SEC
New York-based asset manager WisdomTree has made waves in the digital asset space with the filing of a Form S-1 registration statement with the Securities and Exchange Commission (SEC) for a spot XRP exchange-traded fund (ETF). This development reflects the firm’s ongoing commitment to expanding its crypto-focused investment products amidst an evolving regulatory environment.
The SEC at a Crossroads: Gensler’s Exit, Trump’s Administration, and the Future of Regulation
The Securities and Exchange Commission (SEC) stands on the brink of significant change as current Chair Gary Gensler prepares to step down on January 20, 2025. This leadership transition coincides with President-elect Donald Trump’s inauguration and promises to reshape the regulatory landscape for years to come.
FINRA Dialing Back DEI and Racial Justice Initiatives Amid Conservative Pressure: A Call for Authentic, Impactful Change
The Financial Industry Regulatory Authority (FINRA) has made significant changes to its online content, quietly removing pages that promoted its diversity, equity, inclusion (DEI), and racial justice efforts. These revisions follow an increasing conservative backlash against DEI initiatives across multiple sectors.
Big Data Is Watching You: How the SEC Uses Advanced Analytics to Uncover Violations
The U.S. Securities and Exchange Commission (SEC) has long stood as the vanguard of financial market integrity, but in recent years, it has transformed into a sophisticated data-driven enforcement machine. By leveraging cutting-edge analytics, the SEC has fundamentally reshaped the landscape of securities regulation, ensuring that the most complex and well-disguised violations come to light. From insider trading and market manipulation to cherry-picking schemes and misconduct in the trading of structured products, the SEC's methods have become simultaneously more advanced and more efficient, making noncompliance an exceedingly risky gamble.
FINRA’s Proposed Changes to Rule 6500 Series Aim to Simplify SLATE Reporting
FINRA has issued a set of proposed amendments to Rule 6500 Series, which governs the Securities Lending and Transparency Engine (SLATE). These changes are designed to address feedback from market participants and to make the reporting process more manageable, while also expediting the implementation of the SLATE system.