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

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SEC Charges Private Equity Fund Adviser for Overcharging Fees and Failing To Disclose Fee Calculation Conflict

SEC Charges PIMCO for Disclosure and Policies and Procedures Failures

Michele Layne, Director of Los Angeles Regional Office, to Leave SEC

SEC Charges Investment Adviser and Principal in Abusive Naked Short Selling Scheme

SEC Adopts Amendments to Remove References to Credit Ratings From Regulation M

SEC Adopts Rules to Prevent Fraud in Connection with Security-Based Swaps Transactions and Prevent Undue Influence over CCOs

SEC Charges Coinbase for Operating as an Unregistered Securities Exchange, Broker, and Clearing Agency

SEC Files 13 Charges Against Binance Entities and Founder Changpeng Zhao

SEC Proposes Rule Amendments and New Rule to Improve Risk Management and Resilience of Covered Clearing Agencies

Former Coinbase Manager and His Brother Agree to Settle Insider Trading Charges Relating to Crypto Asset Securities

Former Wells Fargo Senior Executive Agrees to Settle SEC Fraud Charges for Misleading Investors About Abusive Sales Practices to Inflate a Key Performance Metric

SEC Charges Red Rock Secured, Three Executives in Fraud Scheme Targeting Retirement Accounts

SEC Charges HSBC and Scotia Capital with Widespread Recordkeeping Failures

SEC Charges Investment Adviser and Fund Trustees with Liquidity Rule Violations

SEC Charges Advisory Firm and Part-Owner for Breach of Fiduciary Duty in Connection with Use of Leveraged ETFs