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

Enforcement News: Investment Professional Charged by SEC Sentenced to Three and a Half Years in Prison in Parallel Criminal Case

August 29, 2021

Enforcement News: SEC Charges Decentralized Finance Lender and Top Executives for Raising $30 Million Through Fraudulent Offerings

August 29, 2021

OCC News: Acting Comptroller of the Currency Testifies on Regulatory Priorities

August 29, 2021

OCC Enforcement Actions and Terminations

August 29, 2021

OCC Allows National Banks and Federal Savings Associations Affected by Hurricane Ida to Close

August 29, 2021

CFTC News: Federal Court Orders Texas and Florida Men to Pay Nearly $1.75 Million in Digital Assets Scheme

August 29, 2021

CFTC News: CFTC Orders Idaho Man to Pay $150,000 for Registration Violation and Violations of Commodity Pool Operator Regulations

August 29, 2021

CFTC News: Federal Court Orders Ohio Resident and Multi-Million Dollar Ponzi Scheme Fraudster Permanently Banned from Trading and Registering with the CFTC

November 16, 2021

Chair Gensler Announces Addition of Barbara Roper to Senior Staff

August 29, 2021

SEC Charges Former CEO of Technology Company With $80 Million Fraud

August 29, 2021

SEC Chair Adds CFA’s Director of Investor Protection While Under Fire for Ripple Lawsuit on XRP

August 29, 2021

New York Department of Financial Services (‘DFS”) Has New Acting Superintendent

August 29, 2021

Federal Reserve Board Issues Final Rule Amending Regulation D With Regard To Interest On Reserve Balances

August 29, 2021

Mutual Fund Compliance: The Future of Fund Compliance

August 29, 2021

NYSE to Re-Amend its “Related Party Transaction” Review Rule to Align More Closely with SEC Disclosure Requirements

August 29, 2021