Industry News

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

• SEC’s Division of Investment Management to Host Second Annual Conference on Emerging Trends in Asset Management
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2024-04-17
• SEC Issues Second Fee Rate Advisory for Fiscal Year 2024
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2024-04-17
• SEC Charges Five Investment Advisers for Marketing Rule Violations
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2024-04-12
• Register for the SEC’s 43rd Annual Small Business Forum April 16-18
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2024-04-04
• SEC Charges Advisory Firm Senvest Management with Recordkeeping and Other Failures
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2024-04-03
• SEC Encourages Investors to Plan for Their Financial Future During Financial Capability Month
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2024-04-02
• FINRA Enhances Post-Trade Transparency in U.S. Treasury Securities Market
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2024-03-28
• SEC Adopts Reforms Relating to Investment Advisers Operating Exclusively Through the Internet
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2024-03-27
• SEC Seeks Candidates for Investor Advisory Committee
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2024-03-26
• SEC Charges Former Arista Networks Chairman Andy Bechtolsheim with Insider Trading
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2024-03-26
• SEC’s OMWI FY 2023 Annual Report Highlights the Agency’s Diversity, Equity, Inclusion and Accessibility Initiatives and Progress
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2024-03-21
• SEC, NASAA, and Georgia Secretary of State to Host Investor Roundtables at University of North Georgia and Dalton State College
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2024-03-19
• Genesis Agrees to Pay $21 Million Penalty to Settle SEC Charges
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2024-03-19
• FINRA Fines M1 Finance $850,000 for Violations Regarding Use of Social Media Influencer Program
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2024-03-18
• SEC Charges Two Investment Advisers with Making False and Misleading Statements About Their Use of Artificial Intelligence
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2024-03-18