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

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Keith E. Cassidy Named Interim Acting Director of the Division of Examinations

SEC Charges Virginia Engineer with Orchestrating $30 Million Offering Fraud

September 30, 2024

Risk Alert: (Broker-Dealers) Staff Assessment of Risks, Scoping of Examinations, and Requesting of Documents

SEC Charges R.R. Donnelley & Sons Co. with Cybersecurity-Related Controls Violations

SEC Charges Meta Materials and Former CEOs With Market Manipulation, Fraud and Other Violations

SEC, MSRB, FINRA to Hold Hybrid Compliance Outreach Program

SEC Charges Silvergate Capital, Former CEO for Misleading Investors about Compliance Program

New Rule Proposal (RIA, ERA): SEC, FinCEN Propose Customer Identification Program Requirements for Registered Investment Advisers and Exempt Reporting Advisers

SEC Charges Hudson Valley Wealth Management Advisory Firm and Founder for Failing to Disclose Conflicts of Interest

SEC Final Rules: Enhancements to Regulation S-P

SEC Adopts Rule Amendments to Regulation S-P to Enhance Protection of Customer Information

SEC Charges Intercontinental Exchange and Nine Affiliates Including the New York Stock Exchange with Failing to Inform the Commission of a Cyber Intrusion

SEC Charges Advisory Firm Mass Ave Global and Co-Founder and CEO Winston Feng with False Statements and Undisclosed Conflicts

AI Regulation Update: SEC Investor Advisory Committee to Examine AI Regulation at June 6 Meeting

SEC Charges Robert Scott Murray and Trillium Capital with Fraudulent Scheme to Manipulate Getty Images Stock