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

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FINRA Announces New “FINRA Forward” Initiatives to Support Members, Markets and Investors

Broker Dealers: Outside Business Activities New Rule Proposal

FINRA Requests Comment on a Proposal to Reduce Unnecessary Burdens and Simplify Requirements Regarding Associated Persons’ Outside Activities

Rahul Varma Named Acting Director of CFTC Division of Market Oversight

CFTC Charges Syracuse, N.Y., Man, His Firm with Fraud, Misappropriation

CFTC Staff Issues Interpretation Regarding Certain Cross-Border Definitions

CFTC Adds 43 Unregistered Foreign Entities to RED List

CFTC Names Paul Hayeck as Acting Director of Division of Enforcement

SEC Solicits Public Comment on the Foreign Private Issuer Definition

SEC Investor Advisory Committee to Examine Pass-Through Voting and Other Means of Reaching the Ultimate Beneficial Owner; Discuss Market Perspectives on Non-GAAP Financial Disclosures

SEC Publishes Data on Regulation A, Crowdfunding Offerings, and Private Fund Beneficial Ownership Concentration

SEC Announces Agenda, Panelists for Roundtable on Crypto DeFi

SEC’s Division of Investment Management to Host Third Annual Conference on Emerging Trends in Asset Management

SEC Charges Former Real-Estate Investment CEO with Operating Multimillion Dollar Ponzi-Like Scheme

Unicoin, Top Executives Charged in Offering Fraud That Raised More than $100 Million from Thousands of Investors