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

Enforcement: Commission Opinion and Adjudicatory Order - Roberto Mejill-Tellado

January 14, 2026

Enforcement: Commission Opinion and Adjudicatory Order - W&E Source Corp.

January 14, 2026

Compliance Outreach on Regulation S-P

January 14, 2026

Joint Compliance Outreach Program for Municipal Advisors, Dealers, and Other Market Professionals

January 14, 2026

SEC Proposes Amendments to the Small Entity Definitions for Investment Companies and Investment Advisers for Purposes of the Regulatory Flexibility Act

January 14, 2026

SEC Publishes Staff Report on Capital-Raising Dynamics

January 14, 2026

Paul Tzur and David Morrell Named Deputy Directors of the Division of Enforcement

January 14, 2026

Fiscal Year 2026 Examination Priorities

January 14, 2026

Municipal Advisors: Staff Assessment of Risks, Scoping of Examinations, and Requesting of Documents

January 14, 2026

Risk Alert: Additional Observations Regarding Advisers’ Compliance with the Advisers Act Marketing Rule

January 14, 2026

SEC to Host Hybrid Event on Regulation S-P for Small Firms

January 14, 2026

SEC Division of Examinations Announces 2026 Priorities

January 2, 2026

SEC Charges Canadian Citizen With Fraud Schemes That Targeted Retail Investors on Discord

January 2, 2026

SEC Office of the Investor Advocate Delivers to Congress Report on Activities for Fiscal Year 2025

January 2, 2026

SEC Charges Three Purported Crypto Asset Trading Platforms and Four Investment Clubs with Scheme That Targeted Retail Investors on Social Media

January 2, 2026