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

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Senator Kirk Cullimore Introduced Utah Consumer Privacy Act in Utah State Senate

Oklahoma Data Privacy Act: One of Nation's First "opt-in" Proposed Privacy Laws

Proposed Legislation to Increase Data Privacy and Security for Florida Firms

Examining Best Execution and Trading in the Current Landscape

Legal Brief: Global Pressure Drives AML Reforms in the Philippines, Pakistan

Cayman Islands, Morocco Placed on Terror-Financing Watch List

Key Takeaways from ABA Panel on FINRA’s 2021 Exam Findings and Regulatory Priorities

SEC decision seen as first step toward brokers’ mainstream cryptocurrency use

SEC Charges Two Former KPMG Auditors for Improper Professional Conduct During Audit of Not-for-Profit College

SEC Updates List of Firms Using Inaccurate Information to Solicit Investors

Lawmakers Consider Tax Hike on Private Equity

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