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

FINRA Announces Departure of Enforcement Head Jessica Hopper

January 30, 2023

CFTC Charges Commodity Pool Operators and Their Co-Chief Investment Officer with Deception and Manipulation in Connection with Swaps and Supervision Failures

January 30, 2023

CFTC Orders Minnesota Futures Commission Merchant to Pay $6.5 Million for Anti-Money Laundering, Risk Management, Recordkeeping, and Supervision Violations

January 30, 2023

Federal Court Orders California Precious Metals Firm and Its Owners to Pay $38 Million for Commodity Fraud and Registration Violations

January 30, 2023

CFTC Staff Issues No-Action Letter Regarding Investments of Customer Funds in Securities Benchmarked to SOFR

January 30, 2023

CFTC Charges Former New York City Commodity Pool Operator with Fraud

January 30, 2023

SEC Proposes Rule to Prohibit Conflicts of Interest in Certain Securitizations

January 30, 2023

Fee Rate Advisory #2 For Fiscal Year 2023

January 30, 2023

Bloomberg to Pay $5 Million for Misleading Disclosures About Its Valuation Methodologies for Fixed Income Securities

January 30, 2023

Nexo Agrees to Pay $45 Million in Penalties and Cease Unregistered Offering of Crypto Asset Lending Product

January 30, 2023

SEC Charges Genesis and Gemini for the Unregistered Offer and Sale of Crypto Asset Securities through the Gemini Earn Lending Program

January 30, 2023

SEC Charges Former BlackRock Portfolio Manager with Undisclosed Conflict of Interest

January 30, 2023

SEC Charges Creator of CoinDeal Crypto Scheme and Seven Others in Connection with $45 Million Fraud

January 30, 2023

SEC Charges Former SPAC CFO for Orchestrating $5 Million Fraud Scheme

January 30, 2023

SEC Charges Caroline Ellison and Gary Wang with Defrauding Investors in Crypto Asset Trading Platform FTX

January 30, 2023