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

Keith E. Cassidy and Natasha Vij Greiner Appointed Deputy Directors of Division of Examinations

November 19, 2022

SEC Announces Departure of Chief of Staff Prashant Yerramalli and Appointment of Amanda Fischer to the Role

November 19, 2022

SEC Charges S&P Global Ratings with Conflict of Interest Violations

November 19, 2022

SEC Charges Unregistered Brokers That Facilitated More Than $1.2 Billion in Primarily Penny Stock Trades

November 19, 2022

SEC Seeks to Stop the Registration of Misleading Crypto Asset Offerings

November 19, 2022

SEC Announces Enforcement Results for FY22

November 19, 2022

CFTC Orders Wisconsin Resident and Company to Pay Over $190,000 for Failing to Register as an Introducing Broker and Other Violations

October 26, 2022

Federal Court Concludes Receivership in CFTC Ponzi Scheme Action Resulting in the Recovery of Over $1 Billion

October 26, 2022

CFTC Staff Issues No-Action Letter to Korea Exchange, Inc. Concerning the Offer or Sale of KOSPI and Mini KOSPI 200 Futures Contracts

October 26, 2022

CFTC Releases Annual Enforcement Results

October 26, 2022

CFTC Orders Wisconsin Broker to Pay Over $750,000 for Improper Trade Allocation and Additional Violations

October 26, 2022

Federal Court Orders California Man and His Commodity Pool Operator and Introducing Broker to Pay Over $2.3 Million for Commodity Fraud and Making False Statements to the NFA

October 26, 2022

SEC Charges Kim Kardashian for Unlawfully Touting Crypto Security

October 26, 2022

SEC Reopens Comment Periods for Several Rulemaking Releases Due to Technological Error in Receiving Certain Comments

October 26, 2022

SEC Adopts Rule Amendments to Modernize How Broker-Dealers Preserve Electronic Records and Enhance the Electronic Recordkeeping Requirements

October 26, 2022