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

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The SEC could cripple Robinhood’s business model by enforcing existing rules, experts say

SEC Adopts Modernized Marketing Rule for Investment Advisers

Relief for Pre-Verified Accredited Investors May Encourage Rule 506(c) Offerings

Statement of Acting Chair Allison Herren Lee on Empowering Enforcement to Better Protect Investors

Statement of Acting Chair Allison Herren Lee on Contingent Settlement Offers

Limiting SPAC-Related Litigation Risk: Disclosure And Process Considerations

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

Lessons Learned from OFAC’s 2020 Enforcement Actions

Remote Work The New Normal: SIFMA Proposes Broad Rule Revisions

The Anti-Money Laundering Act of 2020 - Expanding AML Reporting Responsibilities to Small Businesses

Limited Time to Obtain Special Exam Waiver IARs in New York Must Now Register

Top 10 International Anti-Corruption Developments for January 2021

No-Action Relief: Investment Company Act of 1940 - Section 17(f) and Rule 17f-2

Order Extending the Annual Reports Filing Deadline for Certain Smaller Broker-Dealers

Global Anti-Bribery Year-in-Review: 2020 Developments and Predictions for 2021