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

Exchange Act Exemptive Notice: Order Granting Conditional Exemptive Relief, Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 and Rule 608(e) of Regulation NMS under the Exchange Act

December 27, 2023

SEC Notice: Vista Financial Advisors, LLC (Notice of Intention to Cancel Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940)

December 27, 2023

SEC Statement: Custody of Digital Asset Securities by Special Purpose Broker-Dealers; Statement and Request for Comment

December 27, 2023

SEC Charges BlackRock with Failing to Properly Disclose Investments by Publicly Traded Fund it Advised

November 10, 2023

SEC Charges Four Long Island Men with Perpetrating $2 Million “Free-Riding” Scheme

November 10, 2023

SEC Charges Crypto Company SafeMoon and its Executive Team for Fraud and Unregistered Offering of Crypto Securities

November 10, 2023

Rule Adoption: SEC Adopts Rules for the Registration and Regulation of Security-Based Swap Execution Facilities

November 10, 2023

SEC Charges President/CCO of Prophecy Asset Management Advisory Firm with Multi-Year Fraud

November 10, 2023

SEC Charges Royal Bank of Canada with Internal Accounting Controls Violations

November 10, 2023

SEC Charges Former Co-CEOs for Falsifying Documents While Raising $70 Million From Investors

November 10, 2023

SEC Obtains Emergency Relief To Halt Nearly $130 Million Fraud Targeting Indian American Community

October 17, 2023

SEC Division of Examinations Announces 2024 Priorities

October 17, 2023

Rule Adoption: New Rule 13f-2: SEC Adopts Rule to Increase Transparency Into Short Selling

October 17, 2023

Rule Adoption: SEC Adopts Rule to Increase Transparency in the Securities Lending Market

October 17, 2023

Rule Adoption: SEC Adopts Amendments to Rules Governing Beneficial Ownership Reporting

October 17, 2023