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

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SEC Proposes Changes to Reg S-P to Enhance Protection of Customer Information

SEC Charges Exiled Chinese Businessman Miles Guo and His Financial Advisor William Je in $850 Million Fraud Scheme

SEC Charges Silver Edge Financial and Equity Acquisition Company With Unregistered Broker-Dealer Activity Relating to Pre-IPO Funds

SEC Proposes Enhanced Safeguarding Rule for Registered Investment Advisers

SEC Proposes Revision to Privacy Act Rule

SEC Division of Examinations Announces 2023 Priorities

Activision Blizzard to Pay $35 Million for Failing to Maintain Disclosure Controls Related to Complaints of Workplace Misconduct and Violating Whistleblower Protection Rule

SEC Charges Final Participant in Multi-Million Dollar Scheme to Spread and Trade on False Rumors about Public Companies

SEC Investor Advisory Committee Discusses the Growth of Private Markets, Oversight of Investment Advisers, and Open-End Fund Liquidity Risk Management

SEC Charges Nishad Singh with Defrauding Investors in Crypto Asset Trading Platform FTX

SEC Charges NBA Hall of Famer Paul Pierce for Unlawfully Touting and Making Misleading Statements about Crypto Security

FINRA Launches Machine-Readable Rulebook Initiative

January 30, 2023

FINRA Foundation Partners With Girl Scouts of the USA to Launch New Financial Empowerment Programming

January 30, 2023

FINRA Creates Industry Diversity Advisory Committee

January 30, 2023

FINRA Publishes 2023 Report on Exam and Risk Monitoring Program

January 30, 2023