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

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FINRA Proposes to Amend Rules 5122 and 5123

New Rules Coming on Brokers and Other Financial Representatives Being Named as a Fiduciary or a Beneficiary

Mandatory ESG Requirements Could be an Early Priority for SEC, with Increasing Calls from Within the SEC to Require Material ESG Risk Disclosures

Certain Disclosure Considerations for Special Purpose Acquisition Companies, Commonly Referred to as SPACS

New York Adopts New Registration and Examination Requirements for Investment Adviser Related Personnel and Solicitors

2021 Report on FINRA’s Examination and Risk Monitoring Program

SEC Sharpens Focus on RIA Compliance Programs, Part 2

FINRA Publishes 2021 Report on FINRA’s Examination and Risk Monitoring Program

Office of Foreign Assets Control (OFAC) Issued General License 1A on Certain Communist Chinese Military Companies

Facebook Appoints Henry Moniz as First Chief Compliance Officer Amidst Ongoing Compliance Scrutiny

Lessons from Capital One AML Failure Penalty: Inadequate AML Policies and Procedures, Failures to File SARs, and Failures to File CTRs

SEC Charges Vuuzle Media and Affiliated Individuals For $14 Million Offering Fraud

FCPA Compliance and the Importance of Risk Ranking Countries

NASAA Working with Regulators to Ensure Hedge Funds, RIAs, Broker Dealers are in Compliance with their Client Obligations

Hedge Fund Melvin Capital Closes Its Short Position in GameStop