SEC Enforcement: Charges Private Equity Fund Adviser with Fee and Expense Disclosure Failures

January 6, 2022

SEC Enforcement: JPMorgan Admits to Widespread Recordkeeping Failures and Agrees to Pay $125 Million Penalty to Resolve SEC Charges

January 6, 2022

SEC Enforcement: Charges Five Russians in $80 Million Hacking and Trading Scheme

January 6, 2022

James E. Grimes Named Chief Administrative Law Judge at SEC

January 6, 2022

SEC Proposes Rules to Prevent Fraud to Prevent Undue Influence over CCOs and to Require Reporting of Large Security-Based Swap Positions

January 6, 2022

Rule Proposal: SEC Proposes Amendments to Money Market Fund Rules

January 6, 2022

SEC Proposes New Share Repurchase Disclosure Rules

January 6, 2022

SEC Proposes Amendments Regarding Rule 10b5-1 Insider Trading Plans and Related Disclosures

January 6, 2022

SEC News: William Birdthistle Named Director of Division of Investment Management

January 6, 2022

SEC Enforcement: Charges Financial Company and Its President with Engaging in Fraudulent Schemes to Boost Stock Price

January 6, 2022

Chair Gensler Announces Additions to Executive Staff

January 6, 2022

SEC Enforcement: Charges Additional Defendant in Phony Certificates of Deposit Scam

January 6, 2022

SEC Charges Three Canadian Citizens in Fraudulent Penny Stock Scheme

December 13, 2021

RegComp Alert: Proposed Rule Amendment to Electronic Recordkeeping Requirements (Rule 17a-4) for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants

December 3, 2021

Broker Dealer Alert: FINRA Orders Aegis Capital Corp. to Pay $1.7 Million in Restitution to Customers Whose Accounts Were Excessively and Unsuitably Traded; Two Supervisors Fined, Suspended for Failing to Respond to Red Flags

December 3, 2021