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

A group of 3 sitting across each other in a meeting

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

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