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

SEC Proposes Amendments to Shareholder Proposal Rule

SEC Adopts Amendments to Proxy Rules Governing Proxy Voting Advice

SEC Charges Empires Consulting Corp. with Fake Trading Scheme

Mark T. Uyeda Sworn In as SEC Commissioner

UBS to Pay $25 Million to Settle SEC Fraud Charges Involving Complex Options Trading Strategy

Largest Penalty Ever Imposed by SEC Against an Audit Firm

SEC Adopts Rules to Require Electronic Filing for Investment Advisers and Institutional Investment Managers

SEC Announces Spring 2022 Regulatory Agenda

SEC Charges Egan-Jones Ratings Co. and CEO with Conflict of Interest Violations

SEC Charges Firm and Five Brokers with Violations of Reg BI

CFTC Charges Florida Man and His Two Entities for Operating a $3.4 Million Commodity Futures Fraud

CFTC Charges Florida Man with Fraudulent Solicitation of Over $800,000 and Misappropriation in Futures Scheme

CFTC Charges Gemini Trust Company for Making Material False or Misleading Statements and Omissions to the Commission

Email Surveillance: Smarsh's New CEO

FINRA Orders Merrill Lynch, Pierce, Fenner & Smith, Inc. to Pay $15.2 Million in Restitution