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

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New Rule Proposal (RIA, ERA): SEC, FinCEN Propose Customer Identification Program Requirements for Registered Investment Advisers and Exempt Reporting Advisers

SEC Charges Hudson Valley Wealth Management Advisory Firm and Founder for Failing to Disclose Conflicts of Interest

SEC Final Rules: Enhancements to Regulation S-P

SEC Adopts Rule Amendments to Regulation S-P to Enhance Protection of Customer Information

SEC Charges Intercontinental Exchange and Nine Affiliates Including the New York Stock Exchange with Failing to Inform the Commission of a Cyber Intrusion

SEC Charges Advisory Firm Mass Ave Global and Co-Founder and CEO Winston Feng with False Statements and Undisclosed Conflicts

AI Regulation Update: SEC Investor Advisory Committee to Examine AI Regulation at June 6 Meeting

SEC Charges Robert Scott Murray and Trillium Capital with Fraudulent Scheme to Manipulate Getty Images Stock

Client Alert: 2024 SEC Rulemaking Agenda (Updates)

Broker Dealer Enforcement: SEC Settles Charges Against Dually-Registered Broker-Dealer and Adviser

CFTC Charges Unregistered Commodity Pool Operator and Its Owner with Futures Fraud and Misappropriation

CFTC Permanently Revokes Registrations of Mississippi-based Commodity Trading Advisor and Associated Person

Market Manipulation: SEC Charges Robert Scott Murray and Trillium Capital with Fraudulent Scheme to Manipulate Getty Images Stock

SEC Closing Regional Office: SEC to Close Salt Lake Regional Office

SEC Charges Three New Yorkers for Raising More Than $184 Million Through Pre-IPO Fraud Schemes