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Resources

Please visit the following websites for resources and information:

Oregon State Bar

Oregon State Division of Finance and Corporate Securities (DFCS)

– Main Page

– Enforcement Orders

– Quarter Enforcement Summaries

– Proposed Rules

– Recently Adopted Rules

– Sign up for Updates via GoDelivery System

US Securities and Exchange Commission

Financial Industry Regulatory Authority (FINRA)

Public Investors Advocate Bar Association (PIABA)

Securities Industry and Financial Market Association (SIFMA)

Securities Investor Protection Corporation. (SIPC)

North American Securities Administrators Association, Inc. (NASAA)

Securities Lawyer’s Deskbook (University of Cincinnati College of Law)

Securities Class Action Clearinghouse (Stanford Law School)

Cornell University Legal Information Institute

Law 360

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RSS SEC Litigation

  • Frank B. Glassner May 24, 2022
    SEC Charges Executive Compensation Consultant with Insider Trading
  • Wynn Charlebois et al. May 19, 2022
    SEC Charges Charlotte, North Carolina Business Consultant and His Company with Operating $7 Million Ponzi Scheme
  • Sohrab ("Sam") Sharma, et al. May 19, 2022
    SEC Obtains Final Judgments Against Defendants in Fraudulent ICO Scheme
    
Oregon State Bar
Disclaimer of Liability

The Securities Regulation Section of the Oregon State Bar presents information on this website as a service to our members and others who provide legal services in this area of law. Our goal is to provide information, education, and networking in this highly specialized field. While we hope to prove a resource in this area of law, nothing on this site should be considered as legal advice and we make no warranty or guarantee concerning the accuracy or reliability of the content of this site or other sites to which we link.


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