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

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SEC Charges Ideanomics and Three Senior Executives with Accounting and Disclosure Fraud

August 15, 2024

SEC Charges NovaTech and its Principals and Promoters with $650 Million Crypto Fraud

August 15, 2024

SEC Meetings and Other Event: Aug 20, 2024 Open Meeting

August 15, 2024

SEC Charges OTC Link LLC with Failing to File Suspicious Activity Reports

August 15, 2024

SEC Charges Russell Todd Burkhalter and His Atlanta-Based Firm With $300 Million Ponzi Scheme and Obtains Emergency Relief

August 15, 2024

Twenty-Six Firms to Pay More Than $390 Million Combined to Settle SEC’s Charges for Widespread Recordkeeping Failures

August 15, 2024

Mid-Year Compliance Reminder: Fiscal Year 2024 SEC Examination Priorities

FINRA Enforcement: FINRA Appoints Julie Glynn and Tina Gubb as SVPs of Enforcement

Broker Dealer CCO Alert: FINRA Publishes 2024 Industry Snapshot

FINRA’s Remote Inspections Pilot Program Begins; 741 Member Firms Opt-In to Participate

CCO Reminder: Regulation S-P

Compliance Reminder: Guidance on Business Continuity Planning for Registered Investment Companies

Compliance Reminder: Cybersecurity Guidance for Investment Advisers and Registered Investment Companies

Cybersecurity (Investment Advisers/Investment Companies): Regulation S-ID Refresher, Identity Theft Red Flags Rules

SEC Rulemaking Activity: Exemption for Certain Investment Advisers Operating Through the Internet (Robo Advisers, Digital Advisers)