Law ❯ Regulatory Compliance ❯ Securities Regulation

Enforcement Actions

SEC Enforcement Manual Wells Process SEC Digital Assets SEC Investigations Wells Process Enhancements Money Laundering SEC Enforcement Division Cryptocurrency Regulations Broker-Dealer Regulations

Philippine SEC Flags dYdX and Six Others for Unlicensed Crypto Services

The move signals tougher enforcement against unlicensed crypto services.

CFTC Maps Oversight for Prediction Markets With New Advisory and ANPRM

SEC Issues First Overhaul of Enforcement Manual in Nearly a Decade

SEC Chair Atkins Outlines Reforms to Make Wells Process Fairer and More Transparent

Gensol Engineering Faces ED Money Laundering Probe After SEBI Exposes Fund Diversion

SEC Ends Robinhood Crypto Investigation Without Enforcement Action

Trump Commerce Nominee's Firm Settles SEC Fraud Charges for $6.75 Million

eToro to Halt Most Crypto Trading in SEC Settlement