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

FINRA Expands the Scope of the TRACE Non-Member Affiliate—Principal Transaction Indicator

September 1, 2026

Exemption of Debt Obligations Issued by the European Union Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities

September 1, 2026

Client Alert: FINRA Requests Comment on Modernizing FINRA’s Best Execution Guidance

September 1, 2026

FINRA Requests Comment on Proposed Changes to Modernize Rule 2210 (Communications with the Public)

September 1, 2026

SEC: 38 Entities Feigned Legitimacy as U.S. Advisers Through False Filings to Lure Retail Investors

September 1, 2026

SEC Proposes Amendments to Exchange Act Rule 3a12-8 to Add European Union Debt Obligations

September 1, 2026

SEC Proposes New Regulation Crypto Assets _ Submit Comments on S7-2026-27

August 26, 2026

SEC Proposes New Regulation Crypto Assets

August 26, 2026

SEC Charges Boiler Room Operator and Three Entities with Defrauding Retail Investors in $74 Million Pre-IPO Investment Scam

August 26, 2026

SEC Charges Toms River Trio in Connection with Alleged $47 Million Fraud Targeting Orthodox Jewish Communities

August 26, 2026

SEC Charges Private Fund Adviser Adit Ventures Management, Its CEO and Affiliated General Partners in Alleged Fraud

August 26, 2026

SEC Establishes Financial Reporting and Accounting Unit in Enforcement Division

August 26, 2026

FINRA Adopts Amendments to the Capital Acquisition Broker Rules

August 26, 2026

Client Alert: FINRA Adopts Amendments to the Capital Acquisition Broker Rules

August 26, 2026

Small Business Forum’s Report to Congress Highlights Recommendations to Improve Capital-Raising Policy

July 30, 2026