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

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

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