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

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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

SEC Speech: An Honest Conversation about ESG Regulation with SEC Commissioner Elad L. Roisman

Every Vote Counts: The Importance of Fund Voting and Clear and Timely Disclosure, Lessons from Acting Chair Allison Lee

SEC Rule Amendment: Private Offering Exemptions Regulatory Framework Final Rule Effective March 15, 2021

Administrative Proceeding File No. 3-20240: Registered Rep Sold to Clients Knowing Broker Dealer Disapproved Investment

Administrative Proceeding File No. 3-20242: Broker Acted Without Registering with the SEC Violating Section 15(a) of Exchange Act

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