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

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

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 Florida Resident for Operating $112 Million Ponzi Scheme that Targeted Haitian-American Community

SEC Charges Convicted Fraudster in Real Estate Ponzi Scheme

SEC Charges Investment Fund Founder William K. Ichioka with $25 Million Offering Fraud

SEC Charges Audit Firm Marcum LLP for Widespread Quality Control Deficiencies

SEC Charges Private Equity Fund Adviser for Overcharging Fees and Failing To Disclose Fee Calculation Conflict

SEC Charges PIMCO for Disclosure and Policies and Procedures Failures

Michele Layne, Director of Los Angeles Regional Office, to Leave SEC

SEC Charges Investment Adviser and Principal in Abusive Naked Short Selling Scheme

SEC Adopts Amendments to Remove References to Credit Ratings From Regulation M

SEC Adopts Rules to Prevent Fraud in Connection with Security-Based Swaps Transactions and Prevent Undue Influence over CCOs

SEC Charges Coinbase for Operating as an Unregistered Securities Exchange, Broker, and Clearing Agency

SEC Files 13 Charges Against Binance Entities and Founder Changpeng Zhao