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

A group of 3 sitting across each other in a meeting

Article: SEC Chief Seeks Expanded Reporting Requirements on PE Funds Middle-Market Public Policy Roundup

Supreme Court Narrows Scope Of Computer Fraud and Abuse Act, Holding It Does Not Prohibit Accessing Otherwise Available Information For An Improper Purpose

RegComp Update: SEC No-Action Letter for PG&E Fire Victim Trust (“Trust”)

RegComp Update: SEC Exemptive and No-Action Relief (Mphasis Limited)

SEC Enforcement: SEC Charges U.S. Promoters of $2 Billion Global Crypto Lending Securities Offering

SEC Whistleblower Updates: SEC Awards More Than $4 Million to Whistleblower

SEC Enforcement: SEC Charges Mutual Fund Executives with Misleading Investors Regarding Investment Risks in Funds that Suffered $1 Billion Trading Loss

RegComp Update: SEC Chairman Gary Gensler Testimony Before the Subcommittee on Financial Services and General Government, U.S. House Appropriations Committee

FINRA Enforcement: Matter Arose Out Of A Complaint From a Beneficiary of a Deceased Customer Regarding a Gift the Customer Provided Prior to the Customer's Death. Case ID 2021070775901

Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 1011(p) (“Specified Risk Event”)

SEC Charges BTIG with Short-Selling Violations

FINRA Rulemaking Process

FINRA Seeks Comment on Supporting Diversity and Inclusion in the Broker-Dealer Industry

Article: Firms Scrutinize Brokers’ Printing, Texting, Outside Activities in Remote Era

NFA Enforcement: Former Associated Person Peter Chris Georgantones Never to Reapply for NFA Membership