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 Preparations for 24-Hour Trading
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-09-01
• SEC Charges San Francisco Bay Area Private Fund Executives with Multimillion Dollar Ponzi-Like Scheme
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-09-01
• SEC Proposes to Modernize Rules for Registered Transfer Agents
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-09-01
• SEC and FDA Announce MOU to Bolster Cooperation and Ensure Market Integrity
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-08-31
• SEC Proposes Amendments to Exchange Act Rule 3a12-8 to Add European Union Debt Obligations
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-08-28
• SEC: 38 Entities Feigned Legitimacy as U.S. Advisers Through False Filings to Lure Retail Investors
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-08-27
• SEC Charges Former Executives With Fraud in Connection With $1.9 Billion Collapse of Subprime Auto Lender Tricolor
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-08-18
• SEC Proposes New Regulation Crypto Assets
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-08-18
• SEC Charges Boiler Room Operator and Three Entities with Defrauding Retail Investors in $74 Million Pre-IPO Investment Scam
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-08-14
• SEC Charges Toms River Trio in Connection with Alleged $47 Million Fraud Targeting Orthodox Jewish Communities
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-08-13
• SEC Charges Private Fund Adviser Adit Ventures Management, Its CEO and Affiliated General Partners in Alleged Fraud
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-08-10
• SEC Establishes Financial Reporting and Accounting Unit in Enforcement Division
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-08-05
• FINRA Fines UBS Financial $20 Million for Anti-Money Laundering Violations
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2026-08-03
• SEC Announces Continuation of Small Business Advisory Committee Meeting
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-07-30
• Small Business Forum’s Report to Congress Highlights Recommendations to Improve Capital-Raising Policy
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-07-27