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

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SEC Proposes to Enhance Disclosures by Certain Investment Advisers and Investment Companies About ESG Investment Practices

SEC Announces Eight New Investor Advisory Committee Members

SEC Charges Louisiana Town and Former Mayor with Fraud in Two Municipal Bond Deals

SEC Updates Electronic Filing Requirements

SEC Charges CohnReznick LLP and Three Partners with Improper Professional Conduct

SEC Charges Allianz Global Investors and Three Former Senior Portfolio Managers with Multibillion Dollar Securities Fraud

SEC Obtains Emergency Relief to Halt Pre-IPO Stock Fraud Scheme by Unregistered Broker-Dealer

RegComp Alert: SEC Extends Comment Period for Proposed Rulemaking to Enhance and Standardize Climate-Related Disclosures (June 17, 2022)

SEC Halts Fraudulent Cryptomining and Trading Scheme

SEC Issues Nearly $3.5 Million Award to Four Whistleblowers

SEC Charges NVIDIA Corporation with Inadequate Disclosures about Impact of Cryptomining

SEC Nearly Doubles Size of Enforcement’s Crypto Assets and Cyber Unit

Securities and Exchange Commission Seeks Greater Participation from Regulated Entities in Conducting and Submitting Voluntary Self-Assessments of Diversity Policies and Practices

SEC Charges CEO and President of Synergy Settlement Services with Fraudulent Operation of Special Needs Pooled Trusts

Medley Management and Former Co-CEOs to Pay $10 Million Penalty for Misleading Investors and Clients