Stay up-to-date on recent enforcement actions, alerts, and regulatory news.

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SEC Charges Georgia-based First Liberty Building & Loan and its Owner for Operating a $140 Million Ponzi Scheme

SEC Small Business Advisory Committee to Discuss Regulatory Framework for Finders and Continue Exploring Regulation A

SEC Publishes Data on Broker-Dealers, Mergers & Acquisitions, and Business Development Companies

SEC Extends Compliance Date to Help Broker-Dealers Fully Test and Implement Daily Reserve Computation Requirement

Regulators to Hold Outreach Event for Municipal Market Professionals

Kevin Muhlendorf Named SEC Inspector General

SEC Names Kurt Hohl as Chief Accountant

Brian Daly Named Director of Division of Investment Management

SEC Names Jamie Selway as Director of Trading and Markets

Further Extension of Form PF Amendments Compliance Date

Vendor Vigilance: Navigating Third-Party Risk

FINRA Publishes 2025 Regulatory Oversight Report

FINRA Fines Apex Clearing $3.2 Million for Violations Relating to Fully Paid Securities Lending Program

FINRA Orders Robinhood Financial to Pay $3.75 Million in Restitution to Customers; Fines Robinhood Financial and Robinhood Securities for Anti-Money Laundering, Supervisory and Disclosure Violations

FINRA Statement on Chairman Atkins’ Confirmation