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

SEC Spotlights Due Diligence During World Investor Week 2023

October 17, 2023

Save the Date: SEC, MSRB, & FINRA to Hold Virtual Compliance Outreach Program (Thursday, December 7, 2023)

October 17, 2023

Rule Proposal: SEC Proposes Tailored Registration Form for Offerings of Registered Index-Linked Annuities

October 17, 2023

SEC Charges International Accounting Firm Prager Metis with Hundreds of Auditor Independence Violations

October 17, 2023

SEC Charges D. E. Shaw with Violating Whistleblower Protection Rule

October 17, 2023

Broker Dealer Alert: SEC Charges 10 Firms with Widespread Recordkeeping Failures

October 17, 2023

SEC Charges Two Credit Rating Agencies, DBRS and KBRA, with Longstanding Recordkeeping Failures

October 17, 2023

SEC Charges Newell Brands and Former CEO for Misleading Investors About Sales Performance

October 17, 2023

Albemarle Corp. to Pay SEC More Than $103 Million to Settle FCPA Violations

October 17, 2023

SEC Charges Electric Vehicle Co. for Misleading Revenue Projections Ahead of SPAC Merger

October 17, 2023

SEC Charges Exelon, its Subsidiary Commonwealth Edison, and Subsidiary’s Former CEO Anne Pramaggiore with Fraud in Connection with Political Corruption Scheme

October 17, 2023

SEC Charges Clear Channel Outdoor with FCPA Violations Relating to China Subsidiary

October 17, 2023

SEC Charges Former Financial Industry Analyst and Three Others with Insider Trading

October 17, 2023

SEC Charges Three Southern California Siblings with Insider Trading

October 17, 2023

SEC Appoints George Botic to the Public Company Accounting Oversight Board

October 17, 2023