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

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SEC Enhances the Regulation of Private Fund Advisers

August 29, 2023

SEC Adopts Amendments to Exemption From National Securities Association Membership

August 29, 2023

SEC Charges FinTech Investment Adviser Titan for Misrepresenting Hypothetical Performance of Investments and other Violations

August 29, 2023

SEC Charges 11 Wall Street Firms with Widespread Recordkeeping Failures

August 29, 2023

Wells Fargo Settles with SEC for Charging Excessive Advisory Fees

August 29, 2023

CFTC: Federal Court Orders Florida Commodity Pool Operator to Pay Nearly $9 Million in Restitution

SEC Charges RSE Markets Inc. for Operating an Unregistered Securities Exchange

SEC Charges Celsius Network Limited and Founder Alex Mashinsky with Fraud and Unregistered Offer and Sale of Securities

SEC Charges Twice-Convicted Fraudster Eliyahu Weinstein and Five Others with $38 Million Ponzi-Like Scheme to Defraud Investors

SEC Charges Digital World SPAC for Material Misrepresentations to Investors

SEC Names Natasha Vij Greiner and Keith E. Cassidy Interim Acting Co-Directors of the Division of Examinations

SEC Charges Investor Joseph C. Lewis and Associates with Insider Trading

SEC Adopts Rules on Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure by Public Companies

SEC Proposes New Requirements to Address Risks to Investors From Conflicts of Interest Associated With the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers

SEC Proposes Reforms Relating to Investment Advisers Operating Exclusively Through the Internet