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

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Satyam Khanna Named SEC’s First Senior Policy Advisor for Climate and ESG

New Year, Old Problem: Broker-Dealers Should Evaluate Their Supervision of Personal Device Use

SEC's Acting Chair Gives Senior Officers Subpoena Power

Effective March 2021 Investor Verification Requirements Relaxed, So Rule 506(C) Issuers Review Accredited Status Once Every Five Years

2021 Private Offerings Update - Aspects of Private Markets Securities Regulation

SEC Settlement Proves That When CCOs Spot A Problem, Silence Is Not Golden

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