Industry News

Keep up to date on financial industry news and the regulatory authorities through these resource links:

• SEC Proposes Amendments to Exchange Act Rule 15c2-11
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-03-16
• SEC Announces Enforcement Division Director Judge Margaret A. Ryan Has Resigned from Agency
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-03-16
• Report From FINRA Board of Governors Meeting – March 2026
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2026-03-12
• SEC and CFTC Announce Historic Memorandum of Understanding Between Agencies
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-03-11
• SEC Investor Advisory Committee to Host March 12 Meeting
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-03-05
• SEC Announces Roundtable on Options Market Structure Reform
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-03-05
• SEC Adopts Final Rules for the Holding Foreign Insiders Accountable Act
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-02-27
• SEC, FSA Hold Spring Financial Regulatory Dialogue
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-02-27
• SEC Announces Roundtable on Private Markets Valuation As Retail Investor Access Accelerates
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-02-26
• SEC’s Division of Enforcement Announces Updates to Enforcement Manual
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-02-24
• SEC Proposes Amendments to Reduce Burdens in Reporting of Fund Portfolio Holdings
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-02-18
• SEC Announces 45th Annual Small Business Forum to Improve Capital-Raising Policy
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-02-13
• SEC Publishes Data on Exchange Traded Funds and Fund Mergers; Updated Statistics on Municipal Advisors, Transfer Agents, and Security-Based Swap Dealers
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-02-05
• SEC Appoints New Chairman and Board Members to PCAOB
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-01-30
• SEC Charges ADM and Three Former Executives with Accounting and Disclosure Fraud
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-01-27