Securities Enforcement. Investigations. Regulation.
Independent analysis of the laws, regulations, investigations, and enforcement actions shaping modern financial markets.
BRAEDEN ANDERSON
RECOGNITION AND LEADERSHIP
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.
17 CFR Part 210 Explained: Regulation S-X, SEC Financial Statements, Auditor Independence, Acquired Business Financials, Pro Forma Financial Information, and Public Company Reporting
A practical guide to 17 CFR Part 210, Regulation S-X, the SEC’s rules for financial statements, auditor independence, accountants’ reports, acquired business financials, pro forma financial information, internal controls, and public company reporting.
17 CFR Part 209 Explained: SEC Forms Under the Rules of Practice, Form D-A, Asset Disclosure, and Financial Information
A practical guide to 17 CFR Part 209, the SEC’s rules on forms prescribed under the Rules of Practice, including Form D-A for disclosure of assets and financial information in SEC enforcement, penalty, disgorgement, collection, and ability-to-pay matters.
17 CFR Part 205 Explained: SEC Attorney Conduct Rules, Reporting Up-the-Ladder, Issuer Representation, Supervisory Duties, and Attorney Discipline
A practical guide to 17 CFR Part 205, the SEC attorney conduct rules governing lawyers appearing and practicing before the Commission in issuer representations, including up-the-ladder reporting, issuer-as-client duties, supervisory attorney responsibilities, subordinate attorney duties, sanctions, discipline, and no private right of action.
17 CFR Part 204 Explained: SEC Debt Collection Rules, Administrative Offset, Salary Offset, Tax Refund Offset, Wage Garnishment, and Collection Procedures
A practical guide to 17 CFR Part 204, the SEC’s rules on debt collection, administrative offset, salary offset, tax refund offset, administrative wage garnishment, credit bureau reporting, collection services, and collection agency referrals.
17 CFR Part 203 Explained: SEC Rules Relating to Investigations, Formal Orders, Witness Rights, Transcripts, and Subpoenas
A practical guide to 17 CFR Part 203, the SEC’s rules on investigations, formal investigative proceedings, subpoenas, testimony transcripts, witness rights, and information obtained in SEC investigations and examinations.