Industry News

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

• Paul S. Atkins Sworn In as SEC Chairman
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-04-21
• SEC Awards $6 Million to Joint Whistleblowers
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-04-21
• SEC Awards $6 Million to Joint Whistleblowers
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-04-21
• FINRA Announces New “FINRA Forward” Initiatives to Support Members, Markets and Investors
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2025-04-21
• SEC Small Business Advisory Committee to Explore Regulation A
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-04-17
• SEC Announces Agenda, Panelists for Roundtable on Crypto Custody
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-04-16
• SEC Extends Effective and Compliance Dates for Amendments to Investment Company Reporting Requirements
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-04-16
• SEC’s Anti-Fraud Public Service Campaign Warns Investors About Relationship Investment Scams
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-04-16
• SEC Publishes New Data and Analysis About Registered Investment Companies and Money Market Funds
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-04-14
• FINRA Statement on Chairman Atkins’ Confirmation
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2025-04-09
• FINRA Foundation Releases State-by-State Financial Knowledge Findings
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2025-04-09
• SEC Announces Agenda, Panelists for Roundtable on Crypto Trading
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-04-07
• By Building Wealth, Investors Power U.S. Economy
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-04-02
• SEC Charges Three Arizona Individuals with Defrauding Investors in $284 Million Municipal Bond Offering That Financed Sports Complex
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-04-01
• FINRA Securities Helpline for Seniors Marks 10th Anniversary With More Than $9.3 Million Recovered for Investors
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2025-04-01