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

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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

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