Self-Serve tier

Stage a FINRA Code of Arbitration Procedure for Customer Disputes (Rules 12000-12900) defense / claimant analysis for a registered representative or member firm in a customer arbitration. Walks Rule 12200 mandatory arbitration triggers, statement of claim, statement of answer, mo

Render a FINRA Rule 2010 "just and equitable principles of trade" exposure analysis for a registered representative or broker-dealer firm under investigation, on the books for a customer complaint, or facing examination findings. Walks the catch-all standard, identifies predicate

Run a FINRA Rule 2090 (Know Your Customer) and Rule 2111 (Suitability) defense / compliance analysis for a registered representative facing customer complaint, arbitration, or Enforcement inquiry. Walks reasonable-basis, customer-specific, and quantitative-suitability prongs, map

Render a FINRA Rule 3110 supervision + Rule 3310 anti-money-laundering compliance analysis for a member firm, OSJ, branch office, or chief compliance officer facing examination findings, customer complaint cascade, or Enforcement inquiry. Walks the supervisory system, written sup

Render a FINRA Rule 4530 reporting analysis for a member firm or registered person facing a written customer complaint, internal-disciplinary action, settlement, judgment, or other reportable event. Walks 4530(a) firm reporting, 4530(b) statistical complaint reporting, 4530(d) se

Render a FINRA Rule 5210 (Publication of Transactions and Quotations) compliance / Enforcement analysis for a member firm engaged in market-making, ATS operation, fixed-income trading, or any quotation-bearing line of business. Walks the prohibition on misleading transaction repo

Render a SEC Rule 206(4)-7 (Compliance Program Rule) audit for a registered investment adviser. Walks the requirement to (1) adopt + implement written policies + procedures reasonably designed to prevent IA Act violations, (2) designate a Chief Compliance Officer, and (3) annuall

Render a SEC Regulation Best Interest (Reg BI, 17 CFR 240.15l-1) compliance / Enforcement analysis for a broker-dealer or registered representative making recommendations to retail customers. Walks the four obligations (Care, Conflict of Interest, Disclosure, Compliance), Form CR

Render a SEC Rule 105 (Regulation M) short-sale-restricted-period compliance and Enforcement analysis. Walks the prohibition on covering a short sale with offered securities purchased from an underwriter, broker, or dealer participating in the offering when the short sale was eff

Render a SEC Rule 10b-5 / Section 10(b) private action analysis for a securities-fraud, insider-trading, or misrepresentation matter. Walks the six elements (material misrepresentation/omission, scienter, in connection with, reliance, economic loss, loss causation), embeds Hallib

Render a SEC Rule 204-3 (Form ADV brochure / Part 2A / Part 2B / Part 3 CRS) delivery and disclosure compliance analysis for a registered investment adviser. Walks initial delivery, annual delivery, material-change amendment, Part 2A item-by-item, Part 2B supplement, Part 3 CRS,

Render a SEC Section 12(g) registration trigger analysis for a private company approaching the JOBS-Act-amended thresholds. Walks the 2,000-holder-of-record test (or 500 non-accredited holders), the $10M total-assets threshold under Rule 12g-1, the registration deadline (120 days

Manage forum strategy for 1933 Act claims after Cyan 583 US 416, including state-court concurrent jurisdiction, removal restrictions, and parallel-track coordination.

Plead and prove loss causation and economic loss under Dura 544 US 336 and PSLRA 15 USC 78u-4(b)(4), with corrective-disclosure mapping and confounder isolation.

Rebut the Basic presumption at class certification under Goldman 594 US 113, with particular focus on generic statements and the inflation-maintenance theory.

Stand up or attack the Basic/Halliburton II fraud-on-the-market reliance presumption at class certification, including market-efficiency proof and direct price-impact rebuttal.

Apply the Janus 564 US 135 "ultimate authority" test to identify which person or entity is the "maker" of an alleged misstatement under Rule 10b-5(b), and dovetail with Lorenzo scheme liability under (a) and (c).

Plead, defend, or attack scheme-liability claims under Rule 10b-5(a) and (c) and Section 17(a)(1) post-Lorenzo 587 US 71, including the dissemination-of-known-falsehoods route.

Map the Macquarie 601 US 257 rule that pure omissions are not actionable under Rule 10b-5(b), distinguish actionable half-truths, and channel residual Item 303 claims to Section 11 / Section 12(a)(2) tracks.

Engage and defend the PSLRA mandatory discovery stay during the pendency of a motion to dismiss, including preservation, lift-stay opposition, and parallel-action coordination.

Apply the PSLRA particularity standard for misrepresentation pleading and the Tellabs holistic strong-inference scienter test to draft or attack a complaint.

Map the six elements of an implied private right of action under Section 10(b) and Rule 10b-5 onto a specific fact pattern, with cite-anchored support and per-element risk flags.

Build the Section 11 due-diligence and reasonable-investigation defense under 15 USC 77k(b) for non-issuer defendants (directors, officers signing the registration statement, underwriters, experts), including expertised vs. non-expertised p

Apply Slack 598 US 759 tracing to Section 11 standing in direct listings and related secondary distributions, where registered and unregistered shares trade simultaneously.