Industry News

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

• SEC Adopts Final Rules for the Holding Foreign Insiders Accountable Act
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-02-27
• SEC, FSA Hold Spring Financial Regulatory Dialogue
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-02-27
• SEC Announces Roundtable on Private Markets Valuation As Retail Investor Access Accelerates
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-02-26
• SEC’s Division of Enforcement Announces Updates to Enforcement Manual
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-02-24
• SEC Proposes Amendments to Reduce Burdens in Reporting of Fund Portfolio Holdings
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-02-18
• SEC Announces 45th Annual Small Business Forum to Improve Capital-Raising Policy
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-02-13
• SEC Publishes Data on Exchange Traded Funds and Fund Mergers; Updated Statistics on Municipal Advisors, Transfer Agents, and Security-Based Swap Dealers
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-02-05
• SEC Appoints New Chairman and Board Members to PCAOB
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-01-30
• SEC Charges ADM and Three Former Executives with Accounting and Disclosure Fraud
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-01-27
• SEC and CFTC Reschedule Joint Event on Harmonization, U.S. Financial Leadership in the Crypto Era
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-01-26
• SEC and CFTC to Hold Joint Event on Harmonization, U.S. Financial Leadership in the Crypto Era
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-01-22
• SEC Small Business Advisory Committee to Continue Discussion on Regulatory Framework for Finders and Begin Exploring the Private Secondary Market
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-01-22
• SEC Approves 2026 PCAOB Budget and Accounting Support Fee
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-01-22
• SEC Seeks Candidates for Membership on the Investor Advisory Committee
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-01-22
• SEC Seeks Candidates for Small Business Capital Formation Advisory Committee
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2026-01-21