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SEC Examinations 2022 Priorities: Reg BI, ESG, Private Funds, Information Security & Operational Resiliency, and Crypto

March 31, 2022

FINRA Wades into the Controversial Deep-End of CCO Supervisory Liability

March 29, 2022

The SEC Sues Investment Advisory Firm in Connection with Alleged Failure to Disclose Revenue Sharing and Other Financial Conflicts, as Well as Converting Clients to Wrap Accounts Without Considering Whether it is in Clients’ Best Interests

March 22, 2022

SEC Charges Texas School District and Former CFO with Fraud Related to Bond

March 21, 2022

Cryptocurrency Exchange Founders Plead Guilty to Bank Secrecy Act Violations

March 3, 2022

BlockFi to Pay $100 Million Over Crypto Lending Platform

March 3, 2022

SEC Proposes New Cybersecurity Risk Management Rules for Registered Investment Advisers and Funds

February 15, 2022

SEC Disgorgement Claim Challenged After Supreme Court’s Decision in Liu

February 8, 2022

Ubiquitous Use of WhatsApp and Other Unrecorded Internal Communications Result in Substantial Penalties in Recent SEC, CFTC Actions

January 11, 2022

Reg BI: What’s Going On and What May Happen Next?

December 16, 2021

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