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

Article: Investment Advisors Are Most Targeted by SEC Enforcement in 2021

November 23, 2021

SEC Enforcement Action: Cases Down, Penalties up in FY 2021

November 23, 2021

RegComp Alert: SEC Proposes Updates to Electronic Recordkeeping Requirements

November 23, 2021

SEC Enforcement: Charged Financial Adviser With Stealing Investor Funds to Pay Off Credit Cards, Buy Gold Coins

November 9, 2021

SEC Enforcement: Charged Fixed Income Clearing Corp. With Having Inadequate Risk Management Policies

November 9, 2021

SEC Enforcement: Charged Newport Beach Company and its Principals with Operating a $13.5 Million Ponzi-Like Scheme

November 9, 2021

SEC Obtains Emergency Relief in Case Charging Claims Aggregator and Principals with Multi-Million Dollar Fraud

November 9, 2021

Compliance Alert: SEC Updates Electronic Filing Requirements

November 9, 2021

SEC Wins Jury Trial: Hedge Fund Adviser Found Liable for Securities Fraud

November 9, 2021

New SEC Appointment: Nicole Creola Kelly Named Chief of SEC Whistleblower Office

November 9, 2021

SEC Approves PCAOB Rule to Establish A Framework for Determinations Under the Holding Foreign Companies Accountable Act

November 9, 2021

New SEC Appointment: Ahmed Abonamah Named Director of Office of Credit Ratings

November 9, 2021

New SEC Appointment: SEC Appoints New Chairperson and Board Members to the Public Company Accounting Oversight Board

November 9, 2021

SEC Enforcement: SEC Charges Exchange-Traded Product and Its General Partner With Disclosure Failures

November 9, 2021

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Declaration of Effectiveness of the Fingerprint Plan of FINRA

November 9, 2021