Industry News

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

• FINRA Foundation and AFCPE® Present the 2025 FINRA Foundation Military Spouse Fellows
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2025-10-08
• FINRA Foundation Releases Findings on Fraud Awareness Among Investors
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2025-10-07
• SEC Announces Departure of Director of Office of the Advocate for Small Business Capital Formation Stacey Bowers
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-10-01
• SEC Continues Efforts to Assist Market Participants During Implementation of Treasury Clearing Rules
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-09-30
• SEC Issues Order to Reduce Operating Costs of Consolidated Audit Trail
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-09-30
• SEC Seeks Public Comment to Improve Rules on Residential Mortgage-Backed Securities and Asset-Backed Securities
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-09-26
• SEC Announces Departure of Chief Operating Officer Ken Johnson
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-09-24
• SEC Announces Agenda, Panelists for SEC-CFTC Roundtable on Regulatory Harmonization Efforts
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-09-24
• Jon Kroeper Named Deputy Director of the Division of Trading and Markets
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-09-24
• Report From FINRA Board of Governors Meeting – September 2025
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2025-09-24
• Small Business Forum Report to Congress Highlights Recommendations to Improve Capital Raising
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-09-22
• SEC Approves Generic Listing Standards for Commodity-Based Trust Shares
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-09-17
• SEC Issues Policy Statement Clarifying that Mandatory Arbitration Provisions Will Not Affect Effectiveness of Registration Statements
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-09-17
• SEC and CFTC Extend Form PF Compliance Date to Oct. 1, 2026
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-09-17
• SEC to Host Webinar for Large Firms on Regulation S-P
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-09-16