Industry News

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

• Regulators to Hold Outreach Event for Municipal Market Professionals
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-06-25
• Regulators to Hold Outreach Event for Municipal Market Professionals
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2025-06-25
• Kevin Muhlendorf Named SEC Inspector General
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-06-23
• Report From FINRA Board of Governors Meeting – June 2025
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2025-06-20
• SEC Announces Departure of David Saltiel
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-06-18
• SEC Names Erik Hotmire as Chief External Affairs Officer and Director of the Office of Public Affairs
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-06-13
• SEC Names Kurt Hohl as Chief Accountant
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-06-13
• Brian Daly Named Director of Division of Investment Management
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-06-13
• SEC Names Jamie Selway as Director of Trading and Markets
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-06-13
• Further Extension of Form PF Amendments Compliance Date
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-06-11
• SEC Announces Agenda and Panelists for Roundtable on Executive Compensation Disclosure Requirements
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-06-11
• Natasha Vij Greiner Will Conclude Her Tenure as Director of Investment Management
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-06-10
• SEC to Resume Processing of Registration Applications From Swiss-Based Investment Advisers
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-06-10
• SEC Solicits Public Comment on the Foreign Private Issuer Definition
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-06-04
• Natalia Díez Riggin Named Senior Advisor and Director of Legislative and Intergovernmental Affairs
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-06-02