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

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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

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