Industry News

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

• SEC Votes to End Defense of Climate Disclosure Rules
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-03-27
• SEC Crypto Task Force to Host Four More Roundtables
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-03-25
• SEC Announces Agenda, Panelists for Roundtable on Artificial Intelligence
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-03-20
• SEC Charges New Jersey Investment Adviser and His Firm with Fraud and Other Violations
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-03-17
• SEC Extends Compliance Dates for Amendments to Investment Company Names Rule
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-03-14
• SEC Charges Investment Adviser and Two Officers for Misuse of Fund and Portfolio Company Assets
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-03-07
• FINRA Orders Robinhood Financial to Pay $3.75 Million in Restitution to Customers; Fines Robinhood Financial and Robinhood Securities for Anti-Money Laundering, Supervisory and Disclosure Violations
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2025-03-07
• Filer Transition to New and Improved EDGAR Begins March 24
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-03-06
• Report From FINRA Board of Governors Meeting – February 2025
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2025-03-05
• SEC Crypto Task Force to Host Roundtable on Security Status
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-03-03
• SEC Staff Facilitates Capital Formation for Companies Planning Public Offerings
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-03-03
• Commissioner Hester Peirce Announces Crypto Task Force Staff
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-03-03
• SEC to Host Roundtable on Artificial Intelligence
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-02-28
• SEC Announces Dismissal of Civil Enforcement Action Against Coinbase
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-02-27
• SEC Charges Justinas Butkus with Orchestrating $4 Million Fraud
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-02-27