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

SEC Charges Connecticut Advisory Firm GlennCap and its Owner with Cherry-Picking

September 21, 2023

SEC Proposes Improvements to EDGAR Filer Access and Account Management

September 21, 2023

SEC Charges Virtu for False and Misleading Disclosures Relating to Information Barriers

September 21, 2023

SEC Charges Alternative Investment Platform YieldStreet for Misleading Investors

September 21, 2023

SEC Charges National Office Partner at Marcum for Causing Widespread Quality Control Deficiencies

September 21, 2023

SEC Sweep into Marketing Rule Violations Results in Charges Against Nine Investment Advisers

September 21, 2023

SEC Charges Privately Held Firm for Using Separation Agreements that Violated Whistleblower Protection Rules

September 21, 2023

Linus Financial Agrees to Settle SEC Charges of Unregistered Offer and Sale of Securities

September 21, 2023

SEC Approves Funding Amendment to National Market System Plan Governing the Consolidated Audit Trail

September 21, 2023

SEC Charges Five Advisory Firms for Custody Rule Violations

September 21, 2023

SEC Charges Private Equity Firm Prime Group for Inadequate Disclosure of Fees Paid to Affiliate

September 21, 2023

SEC Directs Equity Exchanges and FINRA to Improve Governance of Market Data Plans

September 21, 2023

SEC Charges Former Attorney at U.S.-Based Global Law Firm with Insider Trading

August 29, 2023

SEC Charges Former New Jersey Corrections Officer with Crypto Fraud Scheme Targeting Law Enforcement Personnel

August 29, 2023

SEC Reopens Comment Period for Enhanced Safeguarding Rule for Registered Investment Advisers Proposal

August 29, 2023