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

A group of 3 sitting across each other in a meeting

SEC Rulemaking Activity: Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information (Issue Date, June 21, 2024)

SEC Rulemaking Activity: Adoption of Updated EDGAR Filer Manual (Issue Date, July 1, 2024)

Compliance Alert: Undisclosed Misuses of Investor Funds (SEC Charges Fund Manager with $37 Million Offering Fraud and Misappropriation of Investor Money)

Compliance Alert: Anti-Fraud Provisions Violation for Premium Point Investments LP et al. (SEC Obtains Judgment Against Former Broker Related to Hedge Fund Valuation Scheme)

RIA Compliance Reminder: Risk Alert Re Advisers Act Marketing Rule Compliance

SEC Adopts Tailored Registration Form for Offerings of Registered Index-Linked and Registered Market-Value Adjustment Annuities

SEC Awards More Than $37 Million to a Whistleblower

SEC Launches Interagency Securities Council to Coordinate Enforcement Efforts Across Federal, State, and Local Agencies

Keith E. Cassidy Named Interim Acting Director of the Division of Examinations

SEC Charges Virginia Engineer with Orchestrating $30 Million Offering Fraud

September 30, 2024

Risk Alert: (Broker-Dealers) Staff Assessment of Risks, Scoping of Examinations, and Requesting of Documents

SEC Charges R.R. Donnelley & Sons Co. with Cybersecurity-Related Controls Violations

SEC Charges Meta Materials and Former CEOs With Market Manipulation, Fraud and Other Violations

SEC, MSRB, FINRA to Hold Hybrid Compliance Outreach Program

SEC Charges Silvergate Capital, Former CEO for Misleading Investors about Compliance Program