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

SEC Charges Founder of American Bitcoin Academy Online Crypto Course with Fraud Targeting Students

February 8, 2024

Broker Dealer Alert: SEC Adopts Rules to Include Certain Significant Market Participants as “Dealers” or “Government Securities Dealers”

February 8, 2024

SEC Charges China-Based Tech Company Cloopen Group with Accounting Fraud

February 8, 2024

SEC Charges TradeStation Crypto for Unregistered Offer and Sale of Crypto Asset Lending Product

February 8, 2024

Remarks at the 51st Annual Securities Regulation Institute

January 22, 2024

J.P. Morgan to Pay $18 Million for Violating Whistleblower Protection Rule

January 18, 2024

SEC Charges Morgan Stanley and Former Executive Pawan Passi with Fraud in Block Trading Business

January 18, 2024

SEC Charges Future FinTech CEO Shanchun Huang With Fraud and Disclosure Failures

January 18, 2024

SEC Charges Florida Real Estate Developer Rishi Kapoor with Perpetuating $93 Million Fraud Scheme and Obtains Emergency Relief

January 18, 2024

Mark Uyeda Sworn in for Second Term as SEC Commissioner

January 18, 2024

Client Update: SEC Issues Staff Report on Accredited Investor Definition

January 22, 2024

SEC Charges Tingo Mobile Founder, Three Companies with Massive Fraud and Obtains Emergency Relief

December 27, 2023

SEC Charges UAE-Based Brooge Energy and Former Executives with Fraud

December 27, 2023

Dean C. Metry Named Chief Administrative Law Judge at SEC

December 27, 2023

Exchange Act Exemptive Notice: Order Granting Broker-Dealers Exemptive Relief, Pursuant to Section 36(a) and Rule 15c2-11(g) under the SEA, from Rule 15c2-11 for Securities Sold in Compliance with the Safe Harbor of Rule 144A

December 27, 2023