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

Comments on Rulemaking Petition to Amend or Repeal the Pattern Day Trader Rule

September 23, 2021

SEC Awards $11.5 Million to Two Whistleblowers

September 23, 2021

Enforcement: Ronald P. Haller Pled Guilty to One Count of Defrauding a Brokerage Firm At Which He was An Accountholder of More Than $5,000, in Violation of Section 380(1)(a) of the Criminal Code of Canada. (Release No. 34-93046)

September 23, 2021

Enforcement: SEC Charges Poloniex for Operating Unregistered Digital Asset Exchange

September 23, 2021

Update to OFAC's list of Specially Designated Nationals (SDN) and Blocked Persons

September 23, 2021

Maryland Securities Commissioner Melanie Senter Lubin Takes Helm as 104th President of North American Securities Administrators Association

September 23, 2021

In Light of Challenges Posed COVID-19 Proposed Rule Change to Extend the Effectiveness of Temporary FINRA Rule 3110.17

September 23, 2021

NFA Compliance Rule 2-49 Provides that any NFA Swap Dealer (SD) Member that Violates CFTC Regulation 3.3 or any Part 23 Regulation is Deemed to have Violated an NFA Requirement

September 23, 2021

Enforcement Action: SEC Charges Former Municipal Bond Salesperson with Fraud

September 10, 2021

Enforcement Action: SEC Charges Investment Adviser for Supervisory and Compliance Failures (Frontier Wealth Management, LLC)

September 10, 2021

RegComp Alert: 2021 FINRA Small Firm Virtual Conference (October 28, 2021)

September 10, 2021

RegComp CCO Alert: Ask FINRA Advertising Regulation Senior Staff Webinar (October 12, 2021)

September 10, 2021

FINRA Establishes New Supplemental Liquidity Schedule (SLS) - Effective Date: March 1, 2022

September 10, 2021

Enforcement: FINRA Fines Santander Investment Securities for Deficient Research Reports

September 10, 2021

SEC Requests Information and Comment on Broker-Dealer and Investment Adviser Digital Engagement Practices

September 10, 2021