Financial Industry Regulatory Authority
- FINRA Publishes 2026 Industry Snapshot
on 06/01/2026 at 12:00 PMWASHINGTON—FINRA published today its 2026 Industry Snapshot, an annual report that provides aggregate data about member firms, registered representatives, and market activity.
- FINRA Fines Pictet Overseas and Blue Ocean ATS for AML and Supervisory Violations Involving Low-Priced Securitieson 05/20/2026 at 12:00 PM
WASHINGTON, D.C.—FINRA has fined two member firms a total of more than $1.1 million for anti-money laundering (AML) and supervisory violations related to low-priced securities transactions.
- FINRA Announces Review of Higher-Risk Structured Productson 05/19/2026 at 12:00 PM
WASHINGTON, D.C.—Consistent with its mission of investor protection, FINRA announced today that it will review firm practices regarding higher-risk structured products, specifically non-principal protected “worst-of” structured notes.
- FINRA Strengthens External Relations Leadership with Two Senior Appointmentson 04/20/2026 at 12:00 PM
WASHINGTON—FINRA announced today two key additions to our senior leadership team to enhance engagement with regulators, policymakers, industry stakeholders and the media.
Securities and Exchange Commission
Press Releases Official announcements highlighting recent actions taken by the SEC and other newsworthy information.
- SEC Announces New Members of Small Business...on 06/04/2026 at 6:39 PM
The Securities and Exchange Commission today announced five new members of the Small Business Capital Formation Advisory Committee. The new members were appointed to four-year terms and will join the 15 current …
- SEC Publishes Draft Strategic Plan for Public...on 06/02/2026 at 2:30 PM
The Securities and Exchange Commission today published a Draft Strategic Plan that focuses on returning the agency to the core mission set by Congress more than 90 years ago: protecting investors; maintaining fair, orderly, and efficient…
- SEC Announces Four New Members of Investor...on 06/01/2026 at 4:39 PM
The Securities and Exchange Commission today announced four new members to fill vacancies on its Investor Advisory Committee. Three of the four new members will serve four-year terms, while the fourth new member will serve as the…
- SEC Proposes Rescission of Climate-Related...on 05/29/2026 at 2:50 PM
The Securities and Exchange Commission today proposed the rescission of overly burdensome and costly rules that require companies to provide certain climate-related information in their registration statements and annual reports. The Commission’s…