Industry News

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

• SEC Announces Four New Members of Investor Advisory Committee
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-09-16
• FINRA Announces Launch of Crypto and Blockchain Education Program
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2025-09-16
• SEC Investor Advisory Committee to Host Panels to Discuss Reconsideration of the Eligibility Criteria and Regulatory Treatment of Foreign Private Issuers
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-09-11
• James Moloney Named Director of Division of Corporation Finance
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-09-10
• SEC Crypto Task Force to Host Roundtable on Financial Surveillance and Privacy
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-09-08
• SEC Announces Formation of Cross-Border Task Force to Combat Fraud
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-09-05
• SEC and CFTC Issue Joint Statement on Regulatory Harmonization Efforts; Will Co-Host Roundtable Sept. 29
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-09-05
• SEC Charges Pennsylvania Resident and His Companies with $770 Million Ponzi Scheme
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-09-03
• SEC and CFTC Staff Issue Joint Statement On Trading Of Certain Spot Crypto Asset Products
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-09-02
• SEC Announces Agenda and Panelists for Roundtable on Trade-Through Prohibitions
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-08-27
• SEC Names Judge Margaret Ryan as Director of the Division of Enforcement
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-08-21
• FINRA Announces Results of Board of Governors Elections
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2025-08-19
• Founder and Owner of Washington-Based Water Machine Manufacturer and Two Companies Charged in $275 Million Fraud Scheme
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-08-14
• SEC Launches New Statistics and Data Visualizations Webpage
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-08-13
• Staff Issues FAQs to Help Broker-Dealers Implement Financial Responsibility Requirements Related to U.S. Treasury Clearing
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-08-06