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

A group of 3 sitting across each other in a meeting

SEC Charges Eight in Scheme to Fraudulently Promote Securities Offerings

October 1, 2022

Treasury Department Seeks to Coordinate Globally on Crypto Regulation

SEC Proposes ESG Reporting and Disclosure Requirements for Private Fund Advisers

CCO Reminder: SEC Cracks Down on Encrypted Messaging

Former Employee Of NFT Marketplace Charged In First Ever Digital Asset Insider Trading Scheme

Reminder: SEC Proposes Rule Changes to Prevent Misleading or Deceptive Fund Names

ABA Journal: Removing late fee ‘safe harbor’ could harm consumers

SEC Small Business Advisory Committee Votes to Support Improvements to Secondary Trading of Reg A+ Securities

SEC Charges Eleven Individuals in $300 Million Crypto Pyramid Scheme

SEC Charges Convertible Note Dealer and its Long Island-Based Owners for Failure to Register

SEC Files Multiple Insider Trading Actions Originating from the Market Abuse Unit's Analysis and Detection Center

SEC Charges Former Indiana Congressman with Insider Trading

SEC Charges Former Coinbase Manager, Two Others in Crypto Asset Insider Trading Action

SEC Issues More than $17 Million Award to a Whistleblower

Equitable Financial To Pay $50 Million Penalty To Settle SEC Charges That It Provided Misleading Account Statements to Investors