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

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SEC Charges Unregistered Investment Adviser with Misleading Investors (Release No. LR-25047; Mar. 11, 2021)

Department of the Treasury’s Office of Foreign Assets Control (OFAC) Amends Civil Penalties Inflation Adjustment Act

Amendments to the FINRA Rule 1000 Series and the Capital Acquisition Broker Rule 100 Series: September 1, 2021

Regulatory Notice 21-09: FINRA Adopts Rules Re: Brokers With Significant History of Misconduct, Effective: April 15, 2021

SEC Requests Comments on Mandatory Climate-Related Disclosures Reflecting Investor Interest in Corporate Accountability Around These Issues

FINRA Requests Comment on Proposed Amendments to the Margin Rule Regarding When Issued and Other Extended Settlement Transactions

SEC Examiners to Target SPACs (Special Purpose Acquisition Companies)

FINRA Promotes Stephanie Dumont to Head Market Regulation and Transparency Services

FINRA Updates Private Placement Filer Form Pursuant to FINRA Rules 5122 and 5123

Amendments to the Exempt Offering Framework, Impacting how Entrepreneurs Raise Capital via Exempt Offerings

SEC Obtains Emergency Asset Freeze, Charges California Trader with Posting False Stock Tweets

FINRA Monthly Disciplinary Actions - March 2021

The Division of Examinations’ Continued Focus on Digital Asset Securities*

SEC Division of Examinations Announces 2021 Examination Priorities

Robinhood to Settle Options-Related Investigations?