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

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SEC Charges Convertible Note Dealer and its Long Island-Based Owners for Failure to Register

SEC Files Multiple Insider Trading Actions Originating from the Market Abuse Unit's Analysis and Detection Center

SEC Charges Former Indiana Congressman with Insider Trading

SEC Charges Former Coinbase Manager, Two Others in Crypto Asset Insider Trading Action

SEC Issues More than $17 Million Award to a Whistleblower

Equitable Financial To Pay $50 Million Penalty To Settle SEC Charges That It Provided Misleading Account Statements to Investors

Jaime Lizárraga Sworn In as SEC Commissioner

SEC Proposes Amendments to Shareholder Proposal Rule

SEC Adopts Amendments to Proxy Rules Governing Proxy Voting Advice

SEC Charges Empires Consulting Corp. with Fake Trading Scheme

Mark T. Uyeda Sworn In as SEC Commissioner

UBS to Pay $25 Million to Settle SEC Fraud Charges Involving Complex Options Trading Strategy

Largest Penalty Ever Imposed by SEC Against an Audit Firm

SEC Adopts Rules to Require Electronic Filing for Investment Advisers and Institutional Investment Managers

SEC Announces Spring 2022 Regulatory Agenda