Industry News

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

• SEC, MSRB and FINRA to Hold Compliance Outreach Program for Municipal Advisors
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2020-07-16
• Eileen Murray Elected Chairperson of FINRA Board of Governors
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2020-06-30
• FINRA Fines SG Americas Securities $1.55 Million for Submitting Inaccurate Blue Sheet Data
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2020-06-24
• FINRA Announces Passing of Thomas Gira, Executive VP, Market Regulation and Transparency Services
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2020-06-23
• Report from FINRA Board of Governors Meeting – June 2020
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2020-06-17
• FINRA Publishes First Annual Industry Snapshot
  Source: FINRA Publishes First Annual Industry SnapshotPublished on 2018-08-09
• Military Spouses Receive Fellowships to Conduct Financial Counseling
  Source: Military Spouses Receive Fellowships to Conduct Financial CounselingPublished on 2018-08-06
• Transformative industry changes are bringing new ways to understand customers and markets
  Source: SIFMAPublished on 2017-08-09
• SIFMA Statement on Confirmation of CFTC Chairman and Commissioners
  Source: SIFMAPublished on 2017-08-03
• SIFMA Statement on Confirmation of CFTC Chairman and Commissioners
  Source: SIFMAPublished on 2017-08-03
• SIFMA Statement on Confirmation of CFTC Chairman and Commissioners(1)
  Source: SIFMAPublished on 2017-08-03
• SIFMA Statement on Confirmation of CFTC Chairman and Commissioners
  Source: SIFMAPublished on 2017-08-03
• SIFMA Statement on Tax Reform Announcement
  Source: SIFMAPublished on 2017-07-27
• SIFMA Submits Comments to SEC on Standards of Conduct for Financial Professionals
  Source: SIFMAPublished on 2017-07-21
• SIFMA Submits Tax Reform Recommendations to Senate Finance Committee
  Source: SIFMAPublished on 2017-07-18