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

SEC Charges President/CCO of Prophecy Asset Management Advisory Firm with Multi-Year Fraud

November 10, 2023

SEC Charges Royal Bank of Canada with Internal Accounting Controls Violations

November 10, 2023

SEC Charges Former Co-CEOs for Falsifying Documents While Raising $70 Million From Investors

November 10, 2023

SEC Obtains Emergency Relief To Halt Nearly $130 Million Fraud Targeting Indian American Community

October 17, 2023

SEC Division of Examinations Announces 2024 Priorities

October 17, 2023

Rule Adoption: New Rule 13f-2: SEC Adopts Rule to Increase Transparency Into Short Selling

October 17, 2023

Rule Adoption: SEC Adopts Rule to Increase Transparency in the Securities Lending Market

October 17, 2023

Rule Adoption: SEC Adopts Amendments to Rules Governing Beneficial Ownership Reporting

October 17, 2023

SEC Spotlights Due Diligence During World Investor Week 2023

October 17, 2023

Save the Date: SEC, MSRB, & FINRA to Hold Virtual Compliance Outreach Program (Thursday, December 7, 2023)

October 17, 2023

Rule Proposal: SEC Proposes Tailored Registration Form for Offerings of Registered Index-Linked Annuities

October 17, 2023

SEC Charges International Accounting Firm Prager Metis with Hundreds of Auditor Independence Violations

October 17, 2023

SEC Charges D. E. Shaw with Violating Whistleblower Protection Rule

October 17, 2023

Broker Dealer Alert: SEC Charges 10 Firms with Widespread Recordkeeping Failures

October 17, 2023

SEC Charges Two Credit Rating Agencies, DBRS and KBRA, with Longstanding Recordkeeping Failures

October 17, 2023