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

SEC Proposes Rule to Enhance Competition for Individual Investor Order Execution

January 30, 2023

SEC Proposes Rules to Amend Minimum Pricing Increments and Access Fee Caps and to Enhance the Transparency of Better Priced Orders

January 30, 2023

SEC Proposes Amendments to Enhance Disclosure of Order Execution Information

January 30, 2023

SEC Adopts Amendments to Modernize Rule 10b5-1 Insider Trading Plans and Related Disclosures

January 30, 2023

SEC Charges Eight Social Media Influencers in $100 Million Stock Manipulation Scheme Promoted on Discord and Twitter

January 30, 2023

SEC Charges Danske Bank with Fraud for Misleading Investors about Its Anti-Money Laundering Compliance Failures in Estonia

January 30, 2023

SEC Charges Samuel Bankman-Fried with Defrauding Investors in Crypto Asset Trading Platform FTX

January 30, 2023

SEC Charges Goldman Sachs Asset Management for Failing to Follow its Policies and Procedures Involving ESG Investments

December 10, 2022

SEC Publishes FY22-26 Strategic Plan

December 10, 2022

SEC Awards $20 Million to Whistleblower

December 10, 2022

Fort Worth Regional Director David L. Peavler to Leave SEC

December 10, 2022

SEC Charges Vika Ventures and its CEO in $6 Million Fraudulent Offering

December 10, 2022

NFA orders New York, N.Y. swap dealer Goldman Sachs & Co., LLC to pay a $2,500,000 fine

November 19, 2022

NFA orders Connecticut-based Interactive Brokers LLC to pay a $250,000 fine

November 19, 2022

NFA permanently bars Denver-based commodity pool operator Yas Castellum LLC and its principal Marcus Brisco from membership

November 19, 2022