Industry News

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

• SEC Small Business Advisory Committee to Discuss Regulatory Framework for Finders and Continue Exploring Regulation A
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-07-07
• SEC Publishes Data on Broker-Dealers, Mergers & Acquisitions, and Business Development Companies
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-06-26
• SEC Extends Compliance Date to Help Broker-Dealers Fully Test and Implement Daily Reserve Computation Requirement
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-06-25
• SEC Office of the Investor Advocate Delivers to Congress Report on Objectives for Fiscal Year 2026
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-06-25
• Regulators to Hold Outreach Event for Municipal Market Professionals
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-06-25
• Regulators to Hold Outreach Event for Municipal Market Professionals
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2025-06-25
• Kevin Muhlendorf Named SEC Inspector General
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-06-23
• Report From FINRA Board of Governors Meeting – June 2025
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2025-06-20
• SEC Announces Departure of David Saltiel
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-06-18
• SEC Names Erik Hotmire as Chief External Affairs Officer and Director of the Office of Public Affairs
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-06-13
• SEC Names Kurt Hohl as Chief Accountant
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-06-13
• Brian Daly Named Director of Division of Investment Management
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-06-13
• SEC Names Jamie Selway as Director of Trading and Markets
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-06-13
• Further Extension of Form PF Amendments Compliance Date
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-06-11
• SEC Announces Agenda and Panelists for Roundtable on Executive Compensation Disclosure Requirements
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-06-11