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

Linus Financial Agrees to Settle SEC Charges of Unregistered Offer and Sale of Securities

September 21, 2023

SEC Approves Funding Amendment to National Market System Plan Governing the Consolidated Audit Trail

September 21, 2023

SEC Charges Five Advisory Firms for Custody Rule Violations

September 21, 2023

SEC Charges Private Equity Firm Prime Group for Inadequate Disclosure of Fees Paid to Affiliate

September 21, 2023

SEC Directs Equity Exchanges and FINRA to Improve Governance of Market Data Plans

September 21, 2023

SEC Charges Former Attorney at U.S.-Based Global Law Firm with Insider Trading

August 29, 2023

SEC Charges Former New Jersey Corrections Officer with Crypto Fraud Scheme Targeting Law Enforcement Personnel

August 29, 2023

SEC Reopens Comment Period for Enhanced Safeguarding Rule for Registered Investment Advisers Proposal

August 29, 2023

SEC Enhances the Regulation of Private Fund Advisers

August 29, 2023

SEC Adopts Amendments to Exemption From National Securities Association Membership

August 29, 2023

SEC Charges FinTech Investment Adviser Titan for Misrepresenting Hypothetical Performance of Investments and other Violations

August 29, 2023

SEC Charges 11 Wall Street Firms with Widespread Recordkeeping Failures

August 29, 2023

Wells Fargo Settles with SEC for Charging Excessive Advisory Fees

August 29, 2023

CFTC: Federal Court Orders Florida Commodity Pool Operator to Pay Nearly $9 Million in Restitution

August 8, 2023

SEC Charges RSE Markets Inc. for Operating an Unregistered Securities Exchange

August 8, 2023