--- title: The Firm Connection | Securities description: "Securities | Breaking down the complex world of business law: finance, banking, commercial real estate, mergers and acquisitions, tech law, and franchising, and more." image: https://liprestilaw.com/hubfs/LiprestiSocial.png --- [Skip to content](https://liprestilaw.com/the-firm-connection/tag/securities#main-content) [![Lipresti Law](https://liprestilaw.com/hs-fs/hubfs/logo-3.png?width=207&height=50&name=logo-3.png)](https://liprestilaw.com/) - [Home](https://liprestilaw.com/) - [Attorneys](https://liprestilaw.com/meet-our-team) - [Careers](https://liprestilaw.com/employment) - Practice Areas Show submenu for Practice Areas - [Banking/Financing](https://liprestilaw.com/banking-financing) - [Bankruptcy](https://liprestilaw.com/bankruptcy) - [Capital Markets / Securities](https://liprestilaw.com/capital-markets-securities) - [Commercial Real Estate](https://liprestilaw.com/commercial-real-estate) - [Corporate/Outside General Counsel Services](https://liprestilaw.com/corporate-outside-general-counsel-services) - [Healthcare](https://liprestilaw.com/healthcare) - [Intellectual Property](https://liprestilaw.com/intellectual-property) - [Mergers & Acquisitions](https://liprestilaw.com/mergers-acquisitions) - [Nonprofits](https://liprestilaw.com/nonprofits) - [Technology Law](https://liprestilaw.com/technology-law) - [Blog](https://liprestilaw.com/the-firm-connection) - [Contact](https://liprestilaw.com/contact) Show submenu for Contact - [Careers](https://liprestilaw.com/employment) Open main navigation Close main navigation - [Home](https://liprestilaw.com/) - [Attorneys](https://liprestilaw.com/meet-our-team) - [Careers](https://liprestilaw.com/employment) - Practice Areas Show submenu for Practice Areas - [Banking/Financing](https://liprestilaw.com/banking-financing) - [Bankruptcy](https://liprestilaw.com/bankruptcy) - [Capital Markets / Securities](https://liprestilaw.com/capital-markets-securities) - [Commercial Real Estate](https://liprestilaw.com/commercial-real-estate) - [Corporate/Outside General Counsel Services](https://liprestilaw.com/corporate-outside-general-counsel-services) - [Healthcare](https://liprestilaw.com/healthcare) - [Intellectual Property](https://liprestilaw.com/intellectual-property) - [Mergers & Acquisitions](https://liprestilaw.com/mergers-acquisitions) - [Nonprofits](https://liprestilaw.com/nonprofits) - [Technology Law](https://liprestilaw.com/technology-law) - [Blog](https://liprestilaw.com/the-firm-connection) - [Contact](https://liprestilaw.com/contact) Show submenu for Contact - [Careers](https://liprestilaw.com/employment) # The Firm Connection Law Blog [![Social Media Stock Tips](https://liprestilaw.com/hubfs/Social%20Media%20Stock%20Tips.png)](https://liprestilaw.com/the-firm-connection/social-media-stock-tips-when-opportunity-starts-to-look-like-risk) [Securities](https://liprestilaw.com/the-firm-connection/tag/securities), [trading](https://liprestilaw.com/the-firm-connection/tag/trading), [stock tips](https://liprestilaw.com/the-firm-connection/tag/stock-tips) ## [Social Media Stock Tips: When “Opportunity” Starts to Look Like Risk](https://liprestilaw.com/the-firm-connection/social-media-stock-tips-when-opportunity-starts-to-look-like-risk) ![Picture of Nicholas Lipresti, Esq.](https://liprestilaw.com/hs-fs/hubfs/nick-lipresti-02.jpg?width=50&name=nick-lipresti-02.jpg) [Nicholas Lipresti, Esq.](https://liprestilaw.com/the-firm-connection/author/nicholas-lipresti-esq) April 28, 2026 It often starts innocently enough. A targeted advertisement appears in your social media feed promis... [Read more](https://liprestilaw.com/the-firm-connection/social-media-stock-tips-when-opportunity-starts-to-look-like-risk) [![Financial Firms Fail to Record Keeping Standards ](https://liprestilaw.com/hubfs/locking%20down%20comms.png)](https://liprestilaw.com/the-firm-connection/sec-charges-for-financial-firms-record-keeping-failures-highlight-need-for-diligence) [SEC](https://liprestilaw.com/the-firm-connection/tag/sec), [Securities](https://liprestilaw.com/the-firm-connection/tag/securities) ## [SEC Charges for Financial Firms' Record-Keeping Failures Highlight Need for Diligence](https://liprestilaw.com/the-firm-connection/sec-charges-for-financial-firms-record-keeping-failures-highlight-need-for-diligence) ![Picture of Michael Hackett, Esq.](https://liprestilaw.com/hs-fs/hubfs/Imported%20sitepage%20images/michael-hackett-02.jpg?width=50&name=michael-hackett-02.jpg) [Michael Hackett, Esq.](https://liprestilaw.com/the-firm-connection/author/michael-hackett-esq) October 18, 2024 In a major enforcement action, the Securities and Exchange Commission (SEC) recently announced charg... [Read more](https://liprestilaw.com/the-firm-connection/sec-charges-for-financial-firms-record-keeping-failures-highlight-need-for-diligence) [![Securities and Exchange Commission Regulations](https://liprestilaw.com/hubfs/SEC%20Registration.png)](https://liprestilaw.com/the-firm-connection/what-is-regulation-d-and-why-is-it-important) [SEC](https://liprestilaw.com/the-firm-connection/tag/sec), [Securities](https://liprestilaw.com/the-firm-connection/tag/securities), [investing](https://liprestilaw.com/the-firm-connection/tag/investing) ## [What is Regulation D and Why is it Important?](https://liprestilaw.com/the-firm-connection/what-is-regulation-d-and-why-is-it-important) ![Picture of Michael Hackett, Esq.](https://liprestilaw.com/hs-fs/hubfs/Imported%20sitepage%20images/michael-hackett-02.jpg?width=50&name=michael-hackett-02.jpg) [Michael Hackett, Esq.](https://liprestilaw.com/the-firm-connection/author/michael-hackett-esq) August 22, 2023 Navigating the Complex SEC Rules for Investing SEC Registration or Exemption? A Crucial Decision for... [Read more](https://liprestilaw.com/the-firm-connection/what-is-regulation-d-and-why-is-it-important) [![securities and exchange commission](https://liprestilaw.com/hubfs/protecting%20investors.png)](https://liprestilaw.com/the-firm-connection/the-six-sec-rules-every-investor-should-know) [SEC](https://liprestilaw.com/the-firm-connection/tag/sec), [Securities](https://liprestilaw.com/the-firm-connection/tag/securities), [investing](https://liprestilaw.com/the-firm-connection/tag/investing) ## [The Six SEC Rules Every Investor Should Know](https://liprestilaw.com/the-firm-connection/the-six-sec-rules-every-investor-should-know) ![Picture of Nicholas Lipresti, Esq.](https://liprestilaw.com/hs-fs/hubfs/nick-lipresti-02.jpg?width=50&name=nick-lipresti-02.jpg) [Nicholas Lipresti, Esq.](https://liprestilaw.com/the-firm-connection/author/nicholas-lipresti-esq) July 27, 2023 Any investment has an element of risk. Even the best idea can go wrong due to unforeseen circumstanc... [Read more](https://liprestilaw.com/the-firm-connection/the-six-sec-rules-every-investor-should-know) [![Taylor Swift](https://liprestilaw.com/hubfs/Taylor%20Swift%20concert-1.jpg)](https://liprestilaw.com/the-firm-connection/ftx-taylor-swift) [SEC](https://liprestilaw.com/the-firm-connection/tag/sec), [Securities](https://liprestilaw.com/the-firm-connection/tag/securities), [Crypto Currency](https://liprestilaw.com/the-firm-connection/tag/crypto-currency) ## [Taylor Swift and the FTX Debacle](https://liprestilaw.com/the-firm-connection/ftx-taylor-swift) ![Picture of Nicholas Lipresti, Esq.](https://liprestilaw.com/hs-fs/hubfs/nick-lipresti-02.jpg?width=50&name=nick-lipresti-02.jpg) [Nicholas Lipresti, Esq.](https://liprestilaw.com/the-firm-connection/author/nicholas-lipresti-esq) July 17, 2023 FTX Trading Ltd. (“FTX”) – the now bankrupt cryptocurrency exchange and crypto hedge fund founded by... [Read more](https://liprestilaw.com/the-firm-connection/ftx-taylor-swift) linkedin-in icon --- [![Lipresti Law](https://liprestilaw.com/hs-fs/hubfs/logo-3.png?width=207&height=50&name=logo-3.png "Lipresti Law")](https://liprestilaw.com/) Copyright © 2023 linkedin-in icon