Industry News

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

• FINRA Foundation and AFCPE® Select the 2026 FINRA Foundation Military Spouse Fellows
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2026-09-29
• FINRA Bars Broker for Misappropriating $1.7 Million from Customers’ Accounts
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2026-09-29
• SEC Charges Registered Investment Adviser Zoe Financial for Failure to Disclose Conflict of Interest
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-09-28
• SEC Publishes Updated Market Statistics, Highlighting Increase in IPOs and Proceeds Raised
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-09-23
• SEC Charges South Florida Resident and His Company for Alleged Investment Scheme Defrauding Law Enforcement
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-09-23
• SEC Censures OTC Link LLC for Repeated Compliance Failures Related to Regulation SCI
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-09-22
• FINRA Orders American Portfolios to Pay $1.2 Million in Restitution and $400,000 in Fines for UIT Supervision Failures
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2026-09-22
• SEC Issues “Innovation Exemption” to Facilitate the Trading of Tokenized NMS Stock and Request for Comment
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-09-17
• SEC Proposes Rescission of Shareholder Proposal Rule and Reforms to Proxy Solicitation Process
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-09-16
• SEC Grants Exemptive Relief from Certain Inline XBRL Filing or Submission Requirements
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-09-14
• Joint Readout of Principals’ Meeting of U.S. and UK Authorities Regarding Central Counterparty Resolution
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-09-11
• SEC Charges Founder and His Two New Jersey-Based Companies in Alleged $16 Million Ponzi Scheme
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-09-10
• SEC Proposes Rescission of Political Contribution Rule for Investment Advisers
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-09-03
• SEC Investor Advisory Committee to Host Sept. 10 Meeting
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-09-03
• SEC Announces Agenda and Panelists for Roundtable on Preparations for 24-Hour Trading
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-09-01