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SEC Establishes New Accounting Fraud Unit: What Public Companies, Auditors, and Executives Need to Know
On August 5, 2026, the U.S. Securities and Exchange Commission (“SEC”) announced the creation of a new specialized unit within its Division of Enforcement: the Financial Reporting and Accounting Unit.1 The unit is dedicated to pursuing fraud and misconduct in accounting, financial reporting, and auditing—signaling that the SEC views these areas as enforcement priorities requiring dedicated resources and expertise.
Prevailing Against FINRA Investor Complaints | JD Supra
In 2007, the United States Securities and Exchange Commission approved the creation of the Financial Industry Regulatory Authority (FINRA), and the FINRA arbitration forum officially came into being. As a result, the vast majority of disputes between investors and their financial advisors are resolved out of court in FINRA’s arbitration forum. Prior to the final hearing — the equivalent of a trial in state or federal court — the FINRA arbitration forum is decidedly pro-investor.
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