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

A group of 3 sitting across each other in a meeting

FINRA Launches Financial Intelligence Fusion Center to Combat Cybersecurity and Fraud Threats

Federal Court Grants CFTC Motion for Summary Judgment, Orders Former Hedge Fund Manager to Pay $2.2 Million for Swap Valuation Fraud

CFTC Charges U.S. Service Member with Insider Trading in Nicolás Maduro-Related Event Contracts

CFTC Announces Director of the Whistleblower Office

CFTC Staff Issues Supplemental Letter Regarding No-Action Position on Reporting, Recordkeeping Requirements

CFTC Orders New York Trader to Pay $200,000 for Spoofing

SEC Charges 21 Individuals with Alleged Wide-Reaching Insider Trading Scheme

Deputy Director of Enforcement Jason Burt to Conclude His Tenure at the SEC

SEC and CFTC Jointly Propose Amendments to Reduce Private Fund Reporting Burdens

SEC Announces Enforcement Results for Fiscal Year 2025

SEC Appoints David Woodcock as Director of the Division of Enforcement

SEC’s Division of Enforcement Announces Updates to Enforcement Manual

SEC Adopts Final Rules for the Holding Foreign Insiders Accountable Act

SEC and CFTC Announce Historic Memorandum of Understanding Between Agencies

SEC Proposes Amendments to Exchange Act Rule 15c2-11