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

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President Joe Biden Designates Alison Lee as Acting Chair of the SEC

SEC Investigates Market Manipulation as GameStop Stock Soars 700%

FINRA, Cboe, Nasdaq, NYSE and Affiliated Exchanges Fine Credit Suisse Securities $6.5 Million for Supervision and Market Access Rule Violations

Working on the Front Lines of Investor Protection – Barring Bad Actors from the Industry

Working on the Front Lines of Investor Protection – The Importance of FINRA Rule 8210

Excessive Trading: When A Lot Becomes Too Much

FINRA Sanctions Transamerica Financial Advisors, Inc. $8.8 Million for Supervisory Violations Related to Mutual Funds

FINRA Announces Interim Progress of Voluntary 529 Plan Share Class Initiative