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

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Broker Dealer CCO Alert: FINRA Publishes 2024 Industry Snapshot

FINRA’s Remote Inspections Pilot Program Begins; 741 Member Firms Opt-In to Participate

CCO Reminder: Regulation S-P

Compliance Reminder: Guidance on Business Continuity Planning for Registered Investment Companies

Compliance Reminder: Cybersecurity Guidance for Investment Advisers and Registered Investment Companies

Cybersecurity (Investment Advisers/Investment Companies): Regulation S-ID Refresher, Identity Theft Red Flags Rules

SEC Rulemaking Activity: Exemption for Certain Investment Advisers Operating Through the Internet (Robo Advisers, Digital Advisers)

SEC Rulemaking Activity: Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information (Issue Date, June 21, 2024)

SEC Rulemaking Activity: Adoption of Updated EDGAR Filer Manual (Issue Date, July 1, 2024)

Compliance Alert: Undisclosed Misuses of Investor Funds (SEC Charges Fund Manager with $37 Million Offering Fraud and Misappropriation of Investor Money)

Compliance Alert: Anti-Fraud Provisions Violation for Premium Point Investments LP et al. (SEC Obtains Judgment Against Former Broker Related to Hedge Fund Valuation Scheme)

RIA Compliance Reminder: Risk Alert Re Advisers Act Marketing Rule Compliance

SEC Adopts Tailored Registration Form for Offerings of Registered Index-Linked and Registered Market-Value Adjustment Annuities

SEC Awards More Than $37 Million to a Whistleblower

SEC Launches Interagency Securities Council to Coordinate Enforcement Efforts Across Federal, State, and Local Agencies