Anderson Financial Regulatory Law Guide
A Practical Guide to the SEC Rules, FINRA Rules, Major Securities Laws, Financial Regulatory Regimes, and Compliance Frameworks That Govern Modern Finance
Financial regulation can feel like an enormous maze of statutes, rules, forms, exemptions, interpretive releases, regulatory guidance, enforcement actions, registration regimes, supervisory obligations, and agency expectations.
For founders, executives, investors, funds, advisers, broker-dealers, fintech companies, digital asset businesses, public companies, private issuers, money businesses, compliance professionals, and financial services firms, the law often becomes important at the exact moment when the business is moving quickly.
A product is about to launch. A capital raise is underway. A bank partner is asking questions. A regulator has sent a request. An investor is conducting diligence. A platform is moving money. A firm is evaluating whether it needs registration. A board wants to understand risk. A subpoena has arrived. A FINRA Rule 8210 request lands. An SEC examination becomes more serious. A customer complaint raises supervision issues. A digital asset product touches custody, brokerage, payments, advisory, and money transmission questions at once.
The goal of this guide is to make the financial regulatory framework easier to understand.
This series breaks down the laws, rules, regulations, forms, and regulatory concepts I work with in practice, one at a time. Each guide is designed to include the text of the relevant law or rule, a plain-English explanation, practical commentary, common issues, related legal concepts, and an SEO/AEO-focused set of questions designed to answer the kinds of things clients, founders, executives, investors, lawyers, compliance professionals, and AI search tools are likely to ask.
The project is intentionally broad. It will cover SEC rules and regulations, FINRA rules, major federal securities statutes, investment adviser regulation, broker-dealer regulation, investment company regulation, securities offerings, market structure, public company disclosure, financial reporting, privacy, cybersecurity, money transmission, AML, sanctions, digital assets, stablecoins, custody, payments, private funds, internal investigations, enforcement defense, and other financial regulatory regimes that matter to modern financial services businesses.
A practical guide to 17 CFR Part 229, Regulation S-K, the SEC’s narrative disclosure rules for business descriptions, risk factors, MD&A, cybersecurity, legal proceedings, non-GAAP measures, executive compensation, governance, exhibits, and public company reporting.