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

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Cybersecurity: New Draft Released of Framework Profile for Ransomware Risk Management (Preliminary Draft)

Potential New Rule Amendments: SEC Chair Gary Gensler Directs Staff To "Freshen Up" Insider Trading Rule

SEC Enforcement: Defendants Repeatedly Defrauded Three Private Funds they Advise and the Investors in those Funds (Administrative Proceeding File No. 3-20379)

SEC Enforcement: IAR used Firm's Twitter Account to Publish Twenty-Nine Sponsored Promotional Tweets That Failed to Disclose that Firm had been Compensated by the Issuers to Promote their Securities (File No. 3-20379)

FCPA News: World Bank Announces Three Debarments, including Six-Year Sanction for ‘Fraudulent and Obstructive’ Practices

Regulatory News: SEC Names N.J. Attorney General as Enforcement Director

Regulatory News: Robinhood to pay $70 million for outages and misleading customers, the largest-ever FINRA penalty

SEC Enforcement: GWFS Equities, Inc. Ordered to Pay $1.5M in files for AML Violations

Article: Libor Replacement Race Heats Up (Multiple Rate Benchmarks are Likely to Emerge Instead of Just One)

Upcoming Deadline: Interdealer Brokers Change USD Linear Swap Trading Conventions from USD LIBOR to SOFR July 26, 2021

SEC Enforcement: Couple Charged With Insider Trading on Confidential Clinical Trial Data

Regulatory Notice 21-09: FINRA Adopts Rules to Address Brokers With a Significant History of Misconduct

FINRA Update: Released Report on Use of 2020 Fine Monies (FINRA issued $57.0 million in fines in 2020)

NFA Notice: Disclosure Requirements for NFA Members Engaging In Virtual Currency Activities

Article: SEC Chair Gensler Testifies in Front of House Subcommittee, Talks Crypto and SPACs