The Securities and Exchange Commission’s (SEC) April 7, 2026, press release on its fiscal year (FY) 2025 enforcement results is less about numbers and more about a philosophical reset. Under Chairman Paul Atkins and Commissioner Mark Uyeda, who served as acting chair prior to the chairman’s confirmation, the SEC is expressly stepping back from what
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FinCEN’s AML Reset: Proposed Rule Rewrites the Playbook for AML/CFT Programs
On April 7, the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) issued a Notice of Proposed Rulemaking (NPRM) that would significantly revise Bank Secrecy Act (BSA) anti-money laundering and countering the financing of terrorism (AML/CFT) program requirements across a broad range of financial institutions. The proposal is a central element of the
Securities Investigations and Enforcement Newsletter – January 2026
Troutman Pepper Locke’s Securities Investigations and Enforcement team counsels and defends clients through all stages of securities enforcement proceedings. Our attorneys have served in key government agencies and regulatory bodies, and bring their insight to bear in each representation. The team includes a former branch chief of the Division of Enforcement at the SEC, former
Key Takeaways from FINRA’s 2026 Annual Regulatory Oversight Report
The Financial Industry Regulatory Authority’s (FINRA) 2026 Annual Regulatory Oversight Report is the most current and comprehensive statement of FINRA’s priorities and expectations for member firms. It does not create new legal obligations, but it is clearly designed as an exam and enforcement roadmap. The 2026 Report weaves together FINRA’s FINRA Forward modernization program,
Money Matrix Webinar Series: Navigating Privacy, Data Security, and AI Considerations for Financial Institutions
In today’s rapidly evolving digital landscape and expanded threat landscape, financial institutions feel at war and are under increasing pressure to balance innovation, data privacy, and regulatory demands. AI is accelerating that complexity, reshaping how organizations manage sensitive information and comply with a rapidly shifting legal environment.
Securities Investigations and Enforcement Newsletter – October 2025
Troutman Pepper Locke’s Securities Investigations + Enforcement Practice
Troutman Pepper Locke’s Securities Investigations and Enforcement team counsels and defends clients through all stages of securities enforcement proceedings. Our attorneys have served in key government agencies and regulatory bodies, and bring their insight to bear in each representation. The team includes a former branch chief of
SEC Launches AI Task Force
On August 1, the Securities and Exchange Commission (SEC) announced the formation of a new task force dedicated to harnessing artificial intelligence (AI) to enhance innovation and efficiency across the agency. This initiative, led by Valerie Szczepanik, SEC’s newly appointed Chief AI Officer, marks a significant step in the agency’s commitment to integrating this technology
Congress Narrows in on Stablecoin Legislation: An Analysis of the STABLE and GENIUS Acts
The payment stablecoin (PS) legislative endgame is near. There is a clear imperative from the White House to prioritize stablecoin legislation and preserve the U.S. dollar as the world’s reserve currency. Both chambers of Congress are forming a working group to deliver a clear regulatory framework for digital assets. Bipartisan agreement appears within reach.
Banking Sector Girds for M&A Uptick in 2025
James Stevens, co-leader of Troutman Pepper Locke’s Financial Services Industry Group, was quoted in the January 31, 2025 Banking Dive article, “Banking Sector Girds for M&A Uptick in 2025.”
Securities Investigations and Enforcement Newsletter – January 2025
You Are Invited: SEC Enforcement Priorities Webinar
Thursday, February 6, 2025 | 12:00 – 1:00 pm ET
Please join Troutman Pepper Locke for a discussion hosted by the Atlanta Bar Association with Regional Securities and Exchange Commission Directors Nicholas Grippo (Philadelphia Regional Office) and Nekia Jones (Atlanta Regional Office) on the SEC’s 2025 enforcement and