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

A group of 3 sitting across each other in a meeting

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

Kevin Muhlendorf Named SEC Inspector General

SEC Names Kurt Hohl as Chief Accountant

Brian Daly Named Director of Division of Investment Management

SEC Names Jamie Selway as Director of Trading and Markets

Further Extension of Form PF Amendments Compliance Date