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

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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

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