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

White Paper: New SEC Staff Guidance Will Make It More Difficult for Companies to Exclude Certain Shareholder Proposals Under Exchange Act Rule 14a-8

November 9, 2021

Risk Alert: Observations from Examinations in the Registered Investment Company Initiative

October 27, 2021

SEC Staff Releases Report on Equity and Options Market Structure Conditions in Early 2021

October 27, 2021

Cybersecurity Report: Ransomware Trends in Bank Secrecy Act Data Between January 2021 and June 2021

October 19, 2021

Article: DOJ Announces Cybersecurity Enforcement Initiative Targeting Federal Contractors

October 19, 2021

FINRA Disciplinary Action: Broker (Robert Frederick Geiler) Suspended for Selling Non-Public Client Information and a Book of Business to Another Registered Representative (Case ID 2020067109401)

October 19, 2021

Opportunity Zone Primer: SEC Staff Statement on Opportunity Zones: Federal and State Securities Laws Considerations

October 19, 2021

SEC Charges World's Largest Advertising Group with FCPA Violations

October 19, 2021

Cybersecurity Reminder: SEC Announces Three Actions Charging Deficient Cybersecurity Procedures

October 19, 2021

SEC Charges Investment Bank Compliance Analyst with Insider Trading in Parents’ Accounts and Obtains Asset Freeze

October 19, 2021

SEC Modernizes Filing Fee Disclosure and Payment Methods

October 19, 2021

SEC Awards $40 Million to Two Whistleblowers

October 19, 2021

SEC Staff Releases Report on Equity and Options Market Structure Conditions in Early 2021

October 19, 2021

Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting of Executive Compensation Votes by Institutional Investment Managers (Conformed to Federal Register version) File No: S7-11-21

October 19, 2021

Compensation Clawbacks: Reopening of Comment Period for Listing Standards for Recovery of Erroneously Awarded Compensation (File No: S7-12-15)

October 19, 2021