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

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SEC Charges Pennsylvania Resident and His Companies with $770 Million Ponzi Scheme

September 22, 2025

Monday, September 29, 2025: SEC and CFTC Roundtable Link

September 22, 2025

SEC and CFTC Issue Joint Statement on Regulatory Harmonization Efforts; Will Co-Host Roundtable Sept. 29

September 22, 2025

SEC Announces Formation of Cross-Border Task Force to Combat Fraud

September 22, 2025

Registration for SEC Crypto Task Force Roundtable on Financial Surveillance and Privacy

September 22, 2025

SEC Crypto Task Force to Host Roundtable on Financial Surveillance and Privacy

January 2, 2026

SEC Investor Advisory Committee to Host Panels to Discuss Reconsideration of the Eligibility Criteria and Regulatory Treatment of Foreign Private Issuers

September 22, 2025

SEC to Host Webinar for Large Firms on Regulation S-P

September 22, 2025

SEC and CFTC Extend Form PF Compliance Date to Oct. 1, 2026

September 22, 2025

SEC Approves Generic Listing Standards for Commodity-Based Trust Shares

January 2, 2026

SEC Charges Georgia-based First Liberty Building & Loan and its Owner for Operating a $140 Million Ponzi Scheme

SEC Small Business Advisory Committee to Discuss Regulatory Framework for Finders and Continue Exploring Regulation A

SEC Publishes Data on Broker-Dealers, Mergers & Acquisitions, and Business Development Companies

SEC Extends Compliance Date to Help Broker-Dealers Fully Test and Implement Daily Reserve Computation Requirement

Regulators to Hold Outreach Event for Municipal Market Professionals