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

Article: SEC Approves Nasdaq Diversity Rule

September 10, 2021

Article: SEC Chair, Investor Advocates Sharpen Criticism of ‘Gamification’ in Online Trading

September 10, 2021

Hedge Fund Compliance: Will Hedge Funds Now Be Subject to SEC and FINRA Dealer Regulation?

August 29, 2021

Cybersecurity: SEC Fine Highlights Importance of Cybersecurity Disclosures

August 29, 2021

FCPA Priorities: Administration's Anti-Corruption Efforts Likely to Yield Greater FCPA Enforcement in Latin America and Beyond

August 29, 2021

FCPA News: Settlement Agreement between the U.S. Department of the Treasury’s Office of Foreign Assets Control and the Bank of China (UK) Limited

August 29, 2021

North Carolina Enforcement: Man Is Sentenced To More Than Five Years For $1.1 Million Investment Scheme

August 29, 2021

North Carolina Enforcement: Wake Forest Investment Advisor Sentenced for Wire Fraud

August 29, 2021

SEC Obtains Emergency Relief, Charges Investment Adviser and Its Principal with Operating $110 Million Ponzi Scheme

August 29, 2021

Division Of Investment Management’s Recent Analysis Of The Composition Of Prime MMF’s Liquidity Buffers

August 29, 2021

The SEC Released A Statement Clarifying Certain Whistleblower Procedures Under The Dodd-Frank Act

August 29, 2021

Texas Enforcement: Fort Worth Regional Office Charges Texas Investment Adviser with Making Fraudulent Recommendations to Clients

August 29, 2021

Texas Enforcement: Fort Worth Regional Office Charges Dallas Investment Adviser with Breaching Fiduciary Duties Related to Improperly Disclosed 12b-1 Fees and Revenue Sharing

August 29, 2021

Risk Alert: Observations from Examinations of Investment Advisers Managing Client Accounts That Participate In Wrap Fee Programs*

August 29, 2021

SEC Charges IIIinois Resident with Insider Trading

August 29, 2021