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FDA warns medical device maker about clinical trial, premarket violations
According to the regulator, ExThera Medical sent its Seraph 100 blood filters to a hospital for emergency/compassionate use without first obtaining permission.
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US SEC announces important revisions to Enforcement Manual
The Enforcement Manual serves as the foundational guide for how the SEC conducts investigations and recommends enforcement actions.
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When consultants become municipal advisers
A Pennsylvania school consultant’s brush with regulators shows how easily operational support can drift into regulated financial advice.
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CFTC: Yes, we can police prediction market insider trading
The CFTC asserts itself in previously murky regulatory waters.
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GRIP Extra: Anthropic clashes with Pentagon, OCC proposes GENIUS Act implementation rules
Our in-brief roundup of notable stories from the last week.
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SDNY’s new corporate enforcement policy charts path to declination
SDNY said after a company self-reports, it will issue a conditional letter stating intent to decline prosecution, if certain criteria are met.
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Tokenization and SEC oversight: Six essential updates for RIAs in 2026
Tokenized securities are still securities, and the compliance expectations for RIAs are evolving rapidly.
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SEC small business committee continues ‘finders’ discussion
“Finders,” or those who find capital for small businesses but are not necessarily registered broker-dealers, have operated in a regulatory gray area.