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

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Small Business Forum’s Report to Congress Highlights Recommendations to Improve Capital-Raising Policy

SEC Announces Roundtable on Preparations for 24-Hour Trading

SEC Announces Departure of Principal Deputy Director of Enforcement Sam Waldon

SEC Proposes New E-Delivery Approach to Make Information More Readily Accessible and Useful for Investors

SEC Office of Municipal Securities Updates FAQs for Registration of Municipal Advisors

FINRA Publishes 2026 Industry Snapshot

CFTC Charges North Carolina Commodity Pool Operator and His Company with Fraud

SEC Proposes Rescission of Regulation NMS Rules 611 and 610(e)

SEC Forms New Retail Fraud Working Group

SEC and NFA Announce Memorandum of Understanding to Further Harmonize Regulatory Coordination

SEC Rescinds Policy Regarding Denials of Settlements in Enforcement Actions

Administrative Proceeding: Rimar Capital USA, Inc., Rimar Capital, LLC, Itai Royi Liptz, and Clifford Todd Boro

In the Matter of Rimar Capital USA, Inc., et al. Admin. Proc. File No. 3-22236

Altman Rule 102(e) Reinstatement Order

SEC Files Settled Insider Trading Action Against Texas CPA and Former Internal Audit Head of Public Company