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

Broker Dealer Alert: 2025 FINRA Annual Conference (May 2025)

December 24, 2024

Special Investigations Unit: Combating Money Laundering and Fraud in the Securities Industry

December 24, 2024

Video Guide: Completing the RSL Question on Form U4

December 24, 2024

Video Guide: Amending Form BR Filings for RSL

December 24, 2024

Report From FINRA Board of Governors Meeting – December 2024

December 24, 2024

FINRA Orders Three Firms to Pay Over $8.2 Million in Restitution to Customers

December 24, 2024

Statement on Daily Computation of Customer and Broker-Dealer Reserve Requirements under an Amended Broker-Dealer Customer Protection Rule

December 24, 2024

SEC Adopts Rule Amendments to the Broker-Dealer Customer Protection Rule

December 24, 2024

SEC Files Settled Charges Against Multiple Entities for Failing to Timely File Forms D in Connection With Securities Offerings

December 24, 2024

SEC Charges Silver Point Capital with Policy Failures Regarding Receipt of Material Nonpublic Information About Bonds Issued by Puerto Rico

December 24, 2024

Deutsche Bank Subsidiary to Pay $4 Million for Untimely Filing Certain Suspicious Activity Reports

December 24, 2024

Wells Fargo and LPL Financial Charged for Submitting Deficient Trading Data to SEC

December 24, 2024

SEC Modernizes the Submission of Certain Forms, Filings, and Materials Under the Securities Exchange Act of 1934

December 24, 2024

SEC Charges Invesco Advisers for Making Misleading Statements About Supposed Investment Considerations

December 14, 2024

SEC Chair Gensler to Depart Agency on January 20

December 14, 2024