Industry News

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

• SEC Announces Enforcement Results for Fiscal Year 2025
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-04-07
• SEC Announces Agenda and Panelists for Roundtable on Options Market Structure
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-04-02
• SEC Announces Agenda and Panelists for Roundtable on Options Market Structure
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-04-02
• New FINRA Foundation Research Examines the Characteristics, Behaviors and Outcomes of Retail Investors Who Use Social Media
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2026-04-02
• SEC Highlights Financial Independence During Financial Literacy Month
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-03-31
• FINRA Launches Financial Intelligence Fusion Center to Combat Cybersecurity and Fraud Threats
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2026-03-31
• SEC Approves Amendment to NMS Plan to Further Reduce the Costs of the Consolidated Audit Trail
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-03-27
• SEC Clarifies the Application of Federal Securities Laws to Crypto Assets
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-03-17
• SEC Publishes Data on Public and Private Offerings, Municipal Advisors, Transfer Agents, and Securities-Based Swap Dealers
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-03-17
• SEC Proposes Amendments to Exchange Act Rule 15c2-11
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-03-16
• SEC Announces Enforcement Division Director Judge Margaret A. Ryan Has Resigned from Agency
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-03-16
• Report From FINRA Board of Governors Meeting – March 2026
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2026-03-12
• SEC and CFTC Announce Historic Memorandum of Understanding Between Agencies
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-03-11
• SEC Investor Advisory Committee to Host March 12 Meeting
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-03-05
• SEC Announces Roundtable on Options Market Structure Reform
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-03-05