Industry News

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

• SEC Announces Agenda and Panelists for Roundtable on Trade-Through Prohibitions
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-08-27
• SEC Names Judge Margaret Ryan as Director of the Division of Enforcement
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-08-21
• FINRA Announces Results of Board of Governors Elections
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2025-08-19
• Founder and Owner of Washington-Based Water Machine Manufacturer and Two Companies Charged in $275 Million Fraud Scheme
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-08-14
• SEC Launches New Statistics and Data Visualizations Webpage
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-08-13
• Staff Issues FAQs to Help Broker-Dealers Implement Financial Responsibility Requirements Related to U.S. Treasury Clearing
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-08-06
• Securities and Exchange Commission Division of Corporation Finance Issues Staff Statement on Certain Liquid Staking Activities
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-08-05
• SEC Creates Task Force to Tap Artificial Intelligence for Enhanced Innovation and Efficiency Across the Agency
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-08-01
• On the Road: SEC Crypto Task Force to Host a Series of Roundtables Across the U.S.
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-08-01
• SEC Permits In-Kind Creations and Redemptions for Crypto ETPs
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-07-29
• SEC Announces George Botic to Serve as Acting Chair of the Public Company Accounting Oversight Board
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-07-21
• SEC Announces Roundtable on Trade-Through Prohibitions
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-07-21
• FINRA Foundation Releases Sixth Wave of the National Financial Capability Study
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2025-07-16
• SEC Charges Georgia-based First Liberty Building & Loan and its Owner for Operating a $140 Million Ponzi Scheme
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-07-10
• FINRA Publishes 2025 Industry Snapshot
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2025-07-09