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

FINRA Enforcement: Orders Aegis Capital Corp. to Pay $1.7 Million in Restitution to Customers Whose Accounts Were Excessively and Unsuitably Traded; Two Supervisors Fined, Suspended for Failing to Respond to Red Flags

November 23, 2021

SEC Enforcement: Charges Partner at Global Consulting Firm With Insider Trading

November 23, 2021

SEC News: Daniel R. Gregus Named Director of Chicago Office

November 23, 2021

SEC News: Proposes Rule Amendments to Proxy Rules Governing Proxy Voting Advice

November 23, 2021

SEC Enforcement: Charges Promoter with Conducting Cryptocurrency Investment Scams

November 23, 2021

RegComp Alert: SEC Announces Enforcement Results for FY 2021

November 23, 2021

SEC News: Proposes Rule to Provide Transparency in the Securities Lending Market

November 23, 2021

SEC Enforcement: McKinsey Affiliate to Pay $18 Million for Compliance Failures in Handling of Nonpublic Information

November 23, 2021

SEC News: Appoints Haoxiang Zhu Director of Division of Trading and Markets

November 23, 2021

SEC Charges Attorney with Insider Trading in Connection with Running a Conflicts Check

November 23, 2021

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