Industry News

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

• SEC Publishes Staff Report on Capital-Raising Dynamics
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-01-08
• SEC Proposes Amendments to the Small Entity Definitions for Investment Companies and Investment Advisers for Purposes of the Regulatory Flexibility Act
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-01-07
• FINRA Announces Appointment of Four New Board Governors
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2026-01-06
• FINRA Orders American Portfolios Financial Services to Pay $4.6 Million in Restitution for Overcollection of Fees, Retention of Surplus Interest
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2025-12-30
• Deputy Director of Enforcement Nekia Hackworth Jones Concludes Her Tenure at the SEC
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-12-29
• SEC Announces Retirement of Division of Corporation Finance Deputy Director Cicely LaMothe
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-12-29
• SEC Charges Three Purported Crypto Asset Trading Platforms and Four Investment Clubs with Scheme That Targeted Retail Investors on Social Media
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-12-22
• Report From FINRA Board of Governors Meeting – December 2025
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2025-12-22
• Joshua T. White Named SEC Chief Economist
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-12-17
• SEC Office of the Investor Advocate Delivers to Congress Report on Activities for Fiscal Year 2025
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-12-17
• SEC Charges Canadian Citizen With Fraud Schemes That Targeted Retail Investors on Discord
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-12-10
• SEC Announces Agenda and Panelists for Roundtable on Rule 611 of Regulation NMS
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-12-10
• FINRA Publishes 2026 Regulatory Oversight Report to Empower Member Firm Compliance
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2025-12-09
• SEC Announces Departure of OIEA Director Lori J. Schock
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-12-08
• SEC Announces Agenda and Panelists for Roundtable on Financial Surveillance and Privacy
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-12-05