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

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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

Compliance News: U.S. SEC is Reviewing SPAC Filings, Wants Clearer Disclosures

Compliance News: We Asked the SEC and Others About the Impact of Standardized ESG Reporting. The Answers Were Complicated.

FINRA Virtual Conference Panel: Lifecycle of a FINRA Investigation

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