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

Introducing FINRA's REMA: Thinking Differently About Rulemaking, Decision-Making, Innovation and More

FINRA Podcast: Membership Application Program: Reviewing and Approving Digital Asset Firms

FINRA Announces Departure of Enforcement Head Jessica Hopper

FINRA Fines Webull Financial $3 Million for Options Customer Approval Violations

SEC Proposes to Expand and Update Regulation SCI

SEC Reopens Comment Period for Proposed Cybersecurity Risk Management Rules and Amendments for Registered Investment Advisers and Funds

SEC Proposes New Requirements to Address Cybersecurity Risks to the U.S. Securities Markets

SEC Proposes Changes to Reg S-P to Enhance Protection of Customer Information

SEC Charges Exiled Chinese Businessman Miles Guo and His Financial Advisor William Je in $850 Million Fraud Scheme

SEC Charges Silver Edge Financial and Equity Acquisition Company With Unregistered Broker-Dealer Activity Relating to Pre-IPO Funds

SEC Proposes Enhanced Safeguarding Rule for Registered Investment Advisers

SEC Proposes Revision to Privacy Act Rule

SEC Division of Examinations Announces 2023 Priorities

Activision Blizzard to Pay $35 Million for Failing to Maintain Disclosure Controls Related to Complaints of Workplace Misconduct and Violating Whistleblower Protection Rule

SEC Charges Final Participant in Multi-Million Dollar Scheme to Spread and Trade on False Rumors about Public Companies