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

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

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