Industry News

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

• SEC Investor Advisory Committee to Examine Pass-Through Voting and Other Means of Reaching the Ultimate Beneficial Owner; Discuss Market Perspectives on Non-GAAP Financial Disclosures at June 5 Meeting
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-05-29
• SEC Publishes Data on Regulation A, Crowdfunding Offerings, and Private Fund Beneficial Ownership Concentration
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-05-28
• SEC Announces Agenda, Panelists for Roundtable on Crypto DeFi
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-05-28
• SEC’s Division of Investment Management to Host Third Annual Conference on Emerging Trends in Asset Management
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-05-27
• SEC Charges Former Real Estate Investment CEO With Operating Multimillion Dollar Ponzi-Like Scheme
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-05-22
• SEC Charges Former Real-Estate Investment CEO with Operating Multimillion Dollar Ponzi-Like Scheme
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-05-22
• FINRA Announces Appointment of New Public Governor
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2025-05-22
• Unicoin, Top Executives Charged in Offering Fraud That Raised More than $100 Million from Thousands of Investors
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-05-20
• Katherine Reilly Named SEC Acting Inspector General
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-05-19
• SEC Announces Roundtable on Executive Compensation Disclosure Requirements
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-05-16
• SEC Announces Agenda, Panelists for Roundtable on Tokenization Plus Date Change for Roundtable on DeFi
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-05-05
• FINRA Statement to Correct Misinformation About FINRA’s Outside Activities Proposal
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2025-05-05
• SEC Charges Three Texans with Defrauding Investors in $91 Million Ponzi Scheme
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-04-29
• SEC Publishes New Market Data, Analysis, and Visualizations
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-04-28
• SEC Charges PGI Global Founder with $198 Million Crypto Asset and Foreign Exchange Fraud Scheme
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-04-22