BRAEDEN ANDERSON

Welcome to Anderson Insights.

We provide authoritative analysis on securities and commodities regulation, SEC and FINRA enforcement, and legal developments affecting crypto, digital assets, fintech, and financial services.

Authored by Braeden Anderson, Anderson Insights is written for market participants, legal professionals, founders, investors, compliance leaders, and institutions seeking practical insight into complex regulatory developments.

Explore our latest legal writings below. To discuss a regulatory question, enforcement issue, digital asset matter, or potential engagement, contact Braeden Anderson directly or submit a confidential inquiry.

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K. Braeden Anderson

Braeden Anderson is a partner at Gesmer Updegrove LLP and leads the firm’s Securities Regulation & Financial Services and Securities Enforcement and Investigations practice areas. Braeden is a nationally recognized securities regulatory, enforcement, and financial services lawyer whose experience includes prior roles at Sidley Austin LLP, Kirkland & Ellis LLP, and Robinhood Markets, Inc. He advises clients in government investigations, enforcement proceedings, internal investigations, fintech and digital asset regulatory matters, broker-dealer and investment adviser issues, and complex regulatory disputes.

In the 2025 and 2026 editions of Best Lawyers: Ones to Watch® in America, Braeden achieved recognition in Financial Services Regulation Law and Securities Regulation, a peer-review honor awarded to only the top 2% of attorneys in the United States.

Braeden is a nationally visible writer, commentator, and multimedia creator on securities enforcement, fintech regulation, digital assets, market structure, broker-dealer regulation, and investment adviser issues.

‍In addition to being a frequent contributor and commentator in Bloomberg Law and Law360, Braeden is the founder and principal author of Anderson Insights where he publishes practical analysis on SEC enforcement, FINRA developments, crypto policy, tokenized securities, prediction markets, and emerging financial regulation. The Anderson Insights platform also includes a YouTube channel with more than 170,000 subscribers. In 2025, he was named the #1 United States author in FinTech in Mondaq’s Spring 2025 Thought Leadership Awards.

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 also holds international leadership roles through Chambers USA ranked Mackrell International, where he chairs the network’s Blockchain & Digital Assets Group and Securities Enforcement & Investigations Group which brings together experienced counsel from multiple jurisdictions to deliver coordinated representation in complex regulatory and enforcement matters.

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The full Anderson Insights archive is now searchable. Use the search bar to find past content by topic, agency, or keyword. Try searching: “SEC v. Jarkesy,” “ATS regulation,” “custody” or “digital assets”

K. Braeden Anderson 5/29/26 K. Braeden Anderson 5/29/26

Privilege in the Age of AI: What Clients Need to Understand Before They Press “Submit”

The recent decision in United States v. Heppner should prompt every company, executive, founder, investor, and professional to revisit how they use artificial intelligence tools for legal and compliance issues. An AI platform is not a lawyer. Asking ChatGPT, Claude, Gemini, or any similar tool for legal guidance does not create an attorney-client relationship. It does not transform the user’s prompt into a privileged communication. And it does not place the exchange beyond the reach of prosecutors, regulators, civil litigants, or discovery subpoenas.

K. Braeden Anderson 5/21/26 K. Braeden Anderson 5/21/26

The New Fintech Executive Order Is a Signal to Regulators

President Trump’s May 19, 2026 Executive Order on fintech innovation directs federal financial regulators to reexamine whether their existing rules, guidance, supervisory practices, and application processes are unnecessarily slowing the integration of fintech firms, digital assets, and innovative financial technology into the regulated financial system.

K. Braeden Anderson 5/19/26 K. Braeden Anderson 5/19/26

17 CFR Part 229 Explained: Regulation S-K, SEC Disclosure Rules, Business Description, Risk Factors, MD&A, Cybersecurity, Executive Compensation, Exhibits, and Public Company Reporting

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.

K. Braeden Anderson 5/19/26 K. Braeden Anderson 5/19/26

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.

K. Braeden Anderson 5/19/26 K. Braeden Anderson 5/19/26

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.