Industry News

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

• 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
• SEC and CFTC Jointly Propose Amendments to Reduce Private Fund Reporting Burdens
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-04-20
• FINRA Strengthens External Relations Leadership with Two Senior Appointments
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2026-04-20
• Chairman Atkins Launches ‘Material Matters’ Podcast
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-04-16
• SEC Small Business Advisory Committee to Explore Ways to Encourage More IPOs
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-04-16
• SEC Seeks Public Comment on the Consolidated Audit Trail and Other Audit Trails and Data Sources
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-04-16
• SEC Approves Exemptive Order and Proposed Rule Change to Permit Customer Cross-Margining in the U.S. Treasury Market
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-04-15
• SEC Appoints David Woodcock as Director of the Division of Enforcement
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-04-08
• SEC Announces Enforcement Results for Fiscal Year 2025
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-04-07
• SEC Announces Agenda and Panelists for Roundtable on Options Market Structure
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-04-02
• SEC Announces Agenda and Panelists for Roundtable on Options Market Structure
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-04-02
• New FINRA Foundation Research Examines the Characteristics, Behaviors and Outcomes of Retail Investors Who Use Social Media
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2026-04-02