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

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FINRA Enforcement: Scott Fergang (Respondent) General Securities Representative CRD No. 1758758 Violation of NASD Rule 2510(b) Exercising Discretion without Authority

SEC Comment Request Regarding the Custody of Digital Asset Securities by Broker-Dealers, Effective April 27, 2021

SEC Enforcement Action: In the Matter of Jaime M. Westenbarger, Release No.5725/ April 19, 2021

SEC Enforcement Action: In the Matter of Dean Mustaphalli, File No. 3-20264

SEC Accounting and Auditing Enforcement Release No. 4210 / April 19, 2021 - Martin Silver, CPA Respondent

RegComp Alert: FINRA’s 2021 Entitlement User Accounts Certification Period is April 19 – July 19

RegComp Alert: Senate Confirms Gary Gensler as SEC Chairman

Gensler Confirmed as Top Wall Street Cop, Bringing New Era of Tough Scrutiny

SPAC IPOs Tripped Up by Accounting Mistakes in Speed to Market

News: FinCEN Outlines Upcoming Work on Corporate Transparency Act

News: Small Business Optimism Improves in March

Rule Adoption: FINRA Adopts Amendments to the FINRA Rule 9200 Series, FINRA Rule 9300 Series, and FINRA Rule 9556 Addressing Brokers With Significant Misconduct. Effective April 15, 2021

RegComp Alert: SEC Requesting Comment Regarding Custody of Digital Asset Securities by Special Purpose Broker-Dealers

RegComp Alert: Investment Adviser Marketing Rule Adoption Effective Tuesday, May 4th, 2021.

Rule Adoption: Holding Foreign Companies Accountable Act Disclosure