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

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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

Anti-Bribery and Corruption: Eight Companies Disclose New FCPA Investigations

August 29, 2021

Anti-Bribery and Corruption: Don’t Expect Agents to Keep Quiet About Bribes they Pay

August 29, 2021

OFAC News: Settlement Agreement between the U.S. Department of the Treasury’s Office of Foreign Assets Control with First Bank SA and JC Flowers & Co.

August 29, 2021

SEC Enforcement: Partially Settled Enforcement Action Against a SPAC Regarding Misstatements in Registration Statement and Amendments Concerning the Target’s Technology and Business Risks

Broker Dealer Alert: FINRA Adds Continuing Membership Application Requirement to Address Brokers with a History of Misconduct