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

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Reminder: US SEC Heavily Reviewing SPAC Disclosures

SEC Approves Registration of First Security-Based Swap Data Repository; Sets the First Compliance Date for Regulation SBSR

Texas Securities Commissioner Accuses Crypto Investment Platform of Covid-19 Securities Fraud

RegComp Alert: Investment Adviser Marketing Rule Effective May 04

Broker Dealer Update: Regulatory Notice 21-10 FINRA Updates Private Placement Filer Form Pursuant to FINRA Rules 5122 and 5123 Effective Date: May 22, 2021

CFTC Enforcement: Federal Court orders Aaron Michael Scott to Pay $1,381,461.86 in Restitution to Defrauded Customers

NFA Enforcement: NFA Orders Former Associated Person Jeremy Ruth Never to Reapply For NFA Membership

SEC Enforcement Chief Resigns Just Days After Taking Job

FPCA Compliance: MoneyGram Settles With OFAC For 'Blocked List' Transactions

FINRA Enforcement: Joseph Rock Former General Securities Representative CRD No. 2548242 Violation of FINRA Rule 3280 Not Providing Advance Written Notice in Private Securities Transactions Totaling $409,200

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