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

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

SEC Charges Financial Services Professional and Associate in $47 Million Front-Running Scheme

January 30, 2023

SEC Charges Four Individuals in Crypto Pyramid Scheme that Targeted Spanish-Speaking Communities

January 30, 2023

SEC Proposes Regulation Best Execution

January 30, 2023

SEC Proposes Rule to Enhance Competition for Individual Investor Order Execution

January 30, 2023

SEC Proposes Rules to Amend Minimum Pricing Increments and Access Fee Caps and to Enhance the Transparency of Better Priced Orders

January 30, 2023

SEC Proposes Amendments to Enhance Disclosure of Order Execution Information

January 30, 2023

SEC Adopts Amendments to Modernize Rule 10b5-1 Insider Trading Plans and Related Disclosures

January 30, 2023

SEC Charges Eight Social Media Influencers in $100 Million Stock Manipulation Scheme Promoted on Discord and Twitter

January 30, 2023

SEC Charges Danske Bank with Fraud for Misleading Investors about Its Anti-Money Laundering Compliance Failures in Estonia

January 30, 2023