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

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SEC Adopts Rules on Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure by Public Companies

SEC Proposes New Requirements to Address Risks to Investors From Conflicts of Interest Associated With the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers

SEC Proposes Reforms Relating to Investment Advisers Operating Exclusively Through the Internet

SEC Charges Florida Resident with Operating $35 Million Ponzi Scheme that Targeted Church Members

SEC Charges Hex Founder Richard Heart with Misappropriating Millions of Dollars of Investor Funds that Raised more than $1 Billion

August 30, 2023

SEC Charges New Jersey-Based ETF Manager for Fraudulent Conduct and Bars Founder

SEC Charges Florida Investment Adviser a Second Time for Insider Trading

SEC Obtains Emergency Relief to Halt Utah-Based Company’s Crypto Asset Fraud Scheme Involving 18 Defendants

Fund Administrator Charged For Missing Red Flags

FINRA 2022 Annual Financial Report Published (June 2023)

FINRA Expels Monmouth Capital Management

FCM and IB Members—FinCEN updates its list of FATF-identified jurisdictions with AML/CFT deficiencies

NFA orders Vero Beach, Fla. introducing broker Ocean Solutions LLC to pay a $140,000 fine

SEC Charges Police Chief, Four Others in Connection with Insider Trading Before Pharmaceutical Merger

SEC Charges Stockbroker and Friend with Insider Trading