SEC Filed 22% Fewer Enforcement Actions in 2025, Cites Shift Away From ‘Regulation by Enforcement’

April 7, 2026

FINRA Fines Broker-Dealer $600K for Off-Channel Communications, Recordkeeping Failures

March 26, 2026

Navigating the SEC’s Path Toward Digital Modernization

March 5, 2026

FINRA Fines St. Louis-Based Broker-Dealer $750K Over Texting, Discovery Violations

February 2, 2026

FSI Letter Urges SEC to Reform Enforcement Practices, Citing ‘Regulation by Enforcement’ Risks

November 11, 2025

SIFMA Urges SEC to Modernize Off-Channel Communications Rules

October 21, 2025

Financial Deregulation: A False Sense of Securities

June 14, 2025

FINRA Launches Review to Streamline Capital Raising Process

March 20, 2025

In Case You Missed It, Hear From Our Expert Contributors

March 6, 2025

Staying Compliant: Keeping Up With Off-Channel Communications

February 13, 2025

Robinhood B-Ds to Pay $45M in Combined Penalties for 10 Separate Securities Law Violations

January 13, 2025

SEC Announces Record Year for Enforcement Dollars, Updates PAUSE List

December 2, 2024

SEC Levies Over $88 Million in Combined Fines to 11 Firms for Recordkeeping Failures

September 25, 2024

Atom Investors RIA Escapes Penalty in SEC Off-Channel Recordkeeping Case

September 25, 2024

Ameriprise, Edward Jones, and LPL Among 26 Firms Fined More Than $390 Million by SEC for Recordkeeping Failures

August 15, 2024

LPL Financial Reaches $50 Million Settlement With SEC for Off-Channel Communications

May 2, 2024