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

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SEC Proposes Enhanced Safeguarding Rule for Registered Investment Advisers

SEC Proposes Revision to Privacy Act Rule

SEC Division of Examinations Announces 2023 Priorities

Activision Blizzard to Pay $35 Million for Failing to Maintain Disclosure Controls Related to Complaints of Workplace Misconduct and Violating Whistleblower Protection Rule

SEC Charges Final Participant in Multi-Million Dollar Scheme to Spread and Trade on False Rumors about Public Companies

SEC Investor Advisory Committee Discusses the Growth of Private Markets, Oversight of Investment Advisers, and Open-End Fund Liquidity Risk Management

SEC Charges Nishad Singh with Defrauding Investors in Crypto Asset Trading Platform FTX

SEC Charges NBA Hall of Famer Paul Pierce for Unlawfully Touting and Making Misleading Statements about Crypto Security

FINRA Launches Machine-Readable Rulebook Initiative

January 30, 2023

FINRA Foundation Partners With Girl Scouts of the USA to Launch New Financial Empowerment Programming

January 30, 2023

FINRA Creates Industry Diversity Advisory Committee

January 30, 2023

FINRA Publishes 2023 Report on Exam and Risk Monitoring Program

January 30, 2023

FINRA Announces Departure of Enforcement Head Jessica Hopper

January 30, 2023

CFTC Charges Commodity Pool Operators and Their Co-Chief Investment Officer with Deception and Manipulation in Connection with Swaps and Supervision Failures

January 30, 2023

CFTC Orders Minnesota Futures Commission Merchant to Pay $6.5 Million for Anti-Money Laundering, Risk Management, Recordkeeping, and Supervision Violations

January 30, 2023