Industry News

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

• SEC Publishes Draft Strategic Plan for Public Comment
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-06-02
• SEC Announces Four New Members of Investor Advisory Committee
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-06-01
• FINRA Publishes 2026 Industry Snapshot
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2026-06-01
• SEC Proposes Rescission of Climate-Related Disclosure Rules
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-05-29
• SEC Investor Advisory Committee to Host June 4 Meeting
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-05-27
• SEC and NFA Announce Memorandum of Understanding to Further Harmonize Regulatory Coordination
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-05-21
• SEC and NFA Announce Memorandum of Understanding to Further Harmonize Regulatory Coordination
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-05-21
• FINRA Fines Pictet Overseas and Blue Ocean ATS for AML and Supervisory Violations Involving Low-Priced Securities
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2026-05-20
• SEC Proposes Transformative Reforms to Help Public Companies Conduct Registered Offerings and Simplify Reporting Requirements
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-05-19
• FINRA Announces Review of Higher-Risk Structured Products
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2026-05-19
• SEC Rescinds Policy Regarding Denials of Settlements in Enforcement Actions
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-05-18
• SEC Charges 21 Individuals with Alleged Wide-Reaching Insider Trading Scheme
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-05-06
• SEC Divisions of Investment Management and Corporation Finance Issue Staff Guidance Supporting Retirement Plans for Small Businesses
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-05-05
• SEC Proposes Amendments to Permit Optional Semiannual Reporting by Public Companies
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-05-05
• Deputy Director of Enforcement Jason Burt to Conclude His Tenure at the SEC
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-04-30