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

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RegComp Alert: Proposed Rule. FinCEN Issues Advance Notice of Proposed Rulemaking (ANPRM) to Solicit Comment on Questions Pertinent to the Implementation of the Corporate Transparency Act (CTA)

SEC Awards Over $500,000 to Whistleblower Under "Safe Harbor" for Internal Reporting and Surpasses Record for Individual Awards

SEC Risk Alert: Compliance Issues Related to Suspicious Activity Monitoring and Reporting at Broker-Dealers

It’s Been a Quiet Q1 for FCPA Enforcement. Is that Good or Bad?

Allison Herren Lee, Acting Chair of the SEC, Released Questions on Climate Change Disclosures

Litigation Release No. 25058: SEC Charges Bahamian Broker-Dealer and Its Principal with Operating IIIegally in the United States

NFA Rule Alert: New NFA Compliance Rules 2-9 and 2-36: Members' Use of Third-Party Service Providers. Effective Sept 30, 2021

Broker Dealer Alert: 2021 FINRA Disclosure Letters in FINRA Gateway Webinar

FINRA Reminds Member Firms of Their Obligations Regarding Customer Order Handling, Margin Requirements and Effective Liquidity Management

Broker-Dealers’ Remote Branch Inspections Have Been Effective & Challenging During Pandemic, Says FINRA Panel

Och-Ziff Ex-CFO Fined $35K for Role in Bribery Case, Regulatory Penalties for Violating the Foreign Corrupt Practices Act

State of Hawaii Reminds Hawaii Investors to be Cautious of Investment Schemes re: Precious Metals, Cryptocurrencies, etc.

Form ADV Deadline Approaching, RegComp Reminder of Examinations that Focus on Compliance with Form CRS

SEC Charges Levine with Defrauding Investors, Selling Overlapping Ownership Interests, Using False Agreements

SEC Charges California-Based Fraudster With Perpetrating a Fraudulent Scheme to Selling “Insider Tips” on the Dark Web