Industry News

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

• FINRA Announces Results of Board of Governors Elections
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2026-07-17
• SEC Proposes New E-Delivery Approach to Make Information More Readily Accessible and Useful for Investors
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-07-16
• FINRA Taps Christine Kieffer to Lead Investor Education Efforts
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2026-07-14
• SEC Office of Municipal Securities Updates FAQs for Registration of Municipal Advisors
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-07-10
• SEC to Host Virtual Roundtable on Modernizing IPOs and Expanding Access to Public Markets
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-07-08
• SEC Small Business Advisory Committee to Explore Modernizing Market Access
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-07-08
• SEC Forms New Retail Fraud Working Group
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-07-07
• SEC Names Paul Knight as Chief Operating Officer
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-07-06
• SEC Publishes Updated Market Statistics, Highlighting Increase in IPOs and Proceeds Raised
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-07-01
• SEC Seeks Public Comment on Novel Exchange-Traded Funds
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-06-30
• SEC, CFTC Seek Public Comment on the Harmonization of Portfolio Margining Frameworks
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-06-26
• SEC Appoints Kathleen Hutchinson as Director of Office of International Affairs
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-06-24
• SEC, CFTC Seek Public Comment to Further Clarify and Harmonize Derivatives Product Definitions
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-06-18
• SEC, CFTC Seek Public Input on Data Reporting Frameworks for Security-Based Swap and Swap Markets
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-06-18
• FINRA Expels Reid & Rudiger, Bars Cofounders
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2026-06-17