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

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CFTC Enforcement: Charged Three Individuals and Three Florida Companies with Fraud in Multimillion-Dollar Precious Metals Scheme

CFPB Update: Spring Regulatory Agenda Published, Matters Identified are Under Consideration from May 1, 2021 to April 30, 2022.

CFTC Enforcement: Former Commodities Trader Sentenced to Prison for Fraud Scheme

Review and Update Policies and Procedures: Reminder To Broker-Dealers, Investment Advisers of Obligations Under Securities Exchange Act Rules 21F-1 through 7 (Whistleblower Incentives)

ESG Disclosure Requirements: Will Mandated ESG Disclosures Lead to Increased Litigation Risk?

Legal Insight: Key Provisions of California’s Data Breach Law Have Yet To Be Determined

Cybersecurity: New Draft Released of Framework Profile for Ransomware Risk Management (Preliminary Draft)

Potential New Rule Amendments: SEC Chair Gary Gensler Directs Staff To "Freshen Up" Insider Trading Rule

SEC Enforcement: Defendants Repeatedly Defrauded Three Private Funds they Advise and the Investors in those Funds (Administrative Proceeding File No. 3-20379)

SEC Enforcement: IAR used Firm's Twitter Account to Publish Twenty-Nine Sponsored Promotional Tweets That Failed to Disclose that Firm had been Compensated by the Issuers to Promote their Securities (File No. 3-20379)

FCPA News: World Bank Announces Three Debarments, including Six-Year Sanction for ‘Fraudulent and Obstructive’ Practices

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)