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

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

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