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

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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

Regulatory Notice 21-15 FINRA Reminds Members About Options Account Approval, Supervision and Margin Requirements

Staff Statement on Accounting and Reporting Considerations for Warrants Issued by Special Purpose Acquisition Companies (“SPACs”)

SEC Announces Enforcement Task Force Focused on Climate and ESG Issues

SEC Enforcement: Auditor Charged for Failure to Register with PCAOB and Multiple Audit Failures

Compliance News: What Will the SEC's ESG Enforcement Look Like? Cyber Cases Offer Clues