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

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

March 22, 2023

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

March 22, 2023

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

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