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

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NFA Enforcement: Minnesota Introducing Broker Roy E. Abbott Futures, Inc. Fined $75,000 and Ordered to Pay Approximately $198,000 To Clients

Cryptocurrency Enforcement: Treasury Calls for Crypto Transfers Over $10,000 to Be Reported to IRS

Cybersecurity Alert: President Signs Executive Order Charting New Course to Improve the Nation’s Cybersecurity

NASAA Members Approve Model Act to Create Restitution Assistance Funds for Victims of Securities Violations

Regulatory Notice 21-18: FINRA Shares Practices Firms Use to Protect Customers From Online Account Takeover Attempts

Reminder: US SEC Heavily Reviewing SPAC Disclosures

SEC Approves Registration of First Security-Based Swap Data Repository; Sets the First Compliance Date for Regulation SBSR

Texas Securities Commissioner Accuses Crypto Investment Platform of Covid-19 Securities Fraud

RegComp Alert: Investment Adviser Marketing Rule Effective May 04

Broker Dealer Update: Regulatory Notice 21-10 FINRA Updates Private Placement Filer Form Pursuant to FINRA Rules 5122 and 5123 Effective Date: May 22, 2021

CFTC Enforcement: Federal Court orders Aaron Michael Scott to Pay $1,381,461.86 in Restitution to Defrauded Customers

NFA Enforcement: NFA Orders Former Associated Person Jeremy Ruth Never to Reapply For NFA Membership

SEC Enforcement Chief Resigns Just Days After Taking Job

FPCA Compliance: MoneyGram Settles With OFAC For 'Blocked List' Transactions

FINRA Enforcement: Joseph Rock Former General Securities Representative CRD No. 2548242 Violation of FINRA Rule 3280 Not Providing Advance Written Notice in Private Securities Transactions Totaling $409,200