Industry News

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

• SEC Investor Advisory Committee to Examine the Disclosure of AI’s Impact on Company Operations; and Retail Investor Fraud in America at March 6 Meeting
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-02-27
• SEC Charges Alan Burak, Founder of Never Alone Capital, with Fraud
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-02-26
• SEC Extends Compliance Dates and Provides Temporary Exemption for Rule Related to Clearing of U.S. Treasury Securities
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-02-25
• SEC Announces Cyber and Emerging Technologies Unit to Protect Retail Investors
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-02-20
• SEC Announces 44th Annual Small Business Forum to Impact Capital-Raising Policy
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-02-14
• SEC Seeks Candidates for Membership on the Investor Advisory Committee
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-02-14
• SEC Charges One Oak Capital Management and Michael DeRosa with Breaching Fiduciary Duties to Clients
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-02-14
• Exemption From the Requirement to Report Certain Personally Identifiable Information to the Consolidated Audit Trail
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-02-10
• Exemption From Exchange Act Rule 13f-2 and Related Form SHO
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-02-07
• Acting Chairman Mark T. Uyeda Announces Executive Staff and Other Appointments
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-02-04
• FINRA Fines Apex Clearing $3.2 Million for Violations Relating to Fully Paid Securities Lending Program
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2025-02-04
• SEC Small Business Advisory Committee to Continue Discussing Challenges Facing Emerging Fund Managers, and Explore Hurdles for Small Public Companies Not Listed on a National Securities Exchange
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-01-30
• Acting Chairman Mark T. Uyeda Names Natalia Díez Riggin as Senior Advisor and Acting Director of Legislative and Intergovernmental Affairs
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-01-30
• FINRA Publishes 2025 Regulatory Oversight Report
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2025-01-28
• FINRA Orders Three Firms to Pay Over $8.2 Million in Restitution to Customers
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2024-12-20