Industry News

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

• 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
• SEC Announces New Date and Time for Roundtable on Financial Surveillance and Privacy
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-11-21
• SEC Announces Roundtable on Rule 611 of Regulation NMS at the University of Austin
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-11-21
• SEC Division of Examinations Announces 2026 Priorities
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-11-17
• Deputy Director of Enforcement Antonia M. Apps to Conclude Her Tenure at the SEC
  Source: U.S. Securities and Exchange Commission (SEC)Published on 2025-11-13