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

SEC Enforcement: Partially Settled Enforcement Action Against a SPAC Regarding Misstatements in Registration Statement and Amendments Concerning the Target’s Technology and Business Risks

Broker Dealer Alert: FINRA Adds Continuing Membership Application Requirement to Address Brokers with a History of Misconduct

State Enforcement Activity: California AG Announces First-Year Enforcement Update on the California Consumer Privacy Act, Launches New Online Tool for Consumers to Notify Businesses of Potential Violations

Compliance Alert: ESG Disclosures Top Focus, SEC Asset Management Advisory Committee Adopts ESG Disclosure Recommendations

Compliance and Privacy Alert: California AG Enlists Residents to Send CCPA Noncompliance Letters

AML News: Financial Action Task Force Identifies Jurisdictions with Anti-Money Laundering and Combating the Financing of Terrorism and Counter-Proliferation Deficiencies

CFTC Enforcement: Charged Three Individuals and Three Florida Companies with Fraud in Multimillion-Dollar Precious Metals Scheme

CFPB Update: Spring Regulatory Agenda Published, Matters Identified are Under Consideration from May 1, 2021 to April 30, 2022.

CFTC Enforcement: Former Commodities Trader Sentenced to Prison for Fraud Scheme

Review and Update Policies and Procedures: Reminder To Broker-Dealers, Investment Advisers of Obligations Under Securities Exchange Act Rules 21F-1 through 7 (Whistleblower Incentives)

ESG Disclosure Requirements: Will Mandated ESG Disclosures Lead to Increased Litigation Risk?

Legal Insight: Key Provisions of California’s Data Breach Law Have Yet To Be Determined

Cybersecurity: New Draft Released of Framework Profile for Ransomware Risk Management (Preliminary Draft)

Potential New Rule Amendments: SEC Chair Gary Gensler Directs Staff To "Freshen Up" Insider Trading Rule

SEC Enforcement: Defendants Repeatedly Defrauded Three Private Funds they Advise and the Investors in those Funds (Administrative Proceeding File No. 3-20379)