Industry News

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

• 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
• SEC to Host Webinar for Transfer Agents on Regulation S-P
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-12-05
• New FINRA Foundation Research Examines Shifting Investor Behaviors, Preferences and Attitudes
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2025-12-04
• FINRA Orders Securities America to Pay $2 Million in Restitution to Customers, Fines Firm $1 Million for Mutual Fund Supervision Failures
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2025-12-03
• Cristina Martin Firvida to Conclude Tenure as Investor Advocate
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-11-25
• SEC Investor Advisory Committee to Host Dec. 4 Meeting on Regulatory Changes in Corporate Governance, the Tokenization of Equity Securities
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-11-25