Industry News

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

• SEC Small Business Advisory Committee to Discuss IPO Modernization and Regulation Crowdfunding
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-10-14
• FINRA Launches Enhanced Investor Education and Protection Tools to Help Research Markets and Recognize Fraud
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2026-10-13
• SEC Proposes Expanding Securities Eligible for Cross Trading by Registered Funds
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-10-09
• Report From FINRA Board of Governors’ September Meeting
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2026-10-08
• SEC Seeks Final Judgment Against Former Western Asset Co-CIO Ken Leech in Cherry Picking Case
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-10-06
• SEC to Host Virtual National Compliance Outreach Seminar for Investment Companies and Investment Advisers
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-10-06
• FINRA Fines Revere Securities $800,000 for Small-Cap IPO-Related AML and Supervisory Failures
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2026-10-06
• SEC Coordinates with Global Financial Regulators to Raise Fraud Awareness During World Investor Week
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-10-05
• New Research Finds Most Investors Lack Advanced Investment Knowledge, Increasing Their Exposure to Investment Risk
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2026-10-05
• SEC Proposal Would Address How Investment Advisers and Funds Can Custody Crypto Assets Under the Federal Securities Laws
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-10-01
• SEC’s Division of Examinations Announces New Exam Handbook
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-10-01
• SEC Charges Meyer Global Management and Its CEO With Defrauding Retail Investors in Private Funds That Held Interests in SpaceX and Other Pre-IPO Securities
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-09-30
• SEC Charges Two Individuals With Orchestrating Fraud Scheme That Targeted Veterans
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-09-30
• SEC Proposes Amendments to Expand Responsible Retailization of Private Markets
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-09-30
• SEC Charges Multiple Entities in Fraud Schemes Totaling at Least $15 Million That Used WhatsApp and Other Platforms to Lure Investors
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-09-29