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

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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

FINRA Announces New “FINRA Forward” Initiatives to Support Members, Markets and Investors

Broker Dealers: Outside Business Activities New Rule Proposal

FINRA Requests Comment on a Proposal to Reduce Unnecessary Burdens and Simplify Requirements Regarding Associated Persons’ Outside Activities

Rahul Varma Named Acting Director of CFTC Division of Market Oversight

CFTC Charges Syracuse, N.Y., Man, His Firm with Fraud, Misappropriation

CFTC Staff Issues Interpretation Regarding Certain Cross-Border Definitions

CFTC Adds 43 Unregistered Foreign Entities to RED List

CFTC Names Paul Hayeck as Acting Director of Division of Enforcement

SEC Solicits Public Comment on the Foreign Private Issuer Definition

SEC Investor Advisory Committee to Examine Pass-Through Voting and Other Means of Reaching the Ultimate Beneficial Owner; Discuss Market Perspectives on Non-GAAP Financial Disclosures