Financial Industry Regulatory Authority
- FINRA Fines UBS Financial $20 Million for Anti-Money Laundering Violations
on 08/03/2026 at 12:00 PMIncludes Repeat Violations Resulting in a Failure to Reasonably Monitor More Than 60,000 Transactions Totaling $10 BillionWASHINGTON—FINRA has fined UBS Financial Services Inc. (UBS Financial) $20 million for anti-money laundering (AML) violations.
- FINRA Foundation Research Reveals Gaps in Fraud Awareness That May Leave Americans Vulnerableon 07/22/2026 at 12:00 PM
WASHINGTON—A new report released today by the FINRA Investor Education Foundation (FINRA Foundation) reveals troubling knowledge gaps that may leave millions of Americans vulnerable to victimization as financial fraud losses near $200 billion annually.
- FINRA Announces Results of Board of Governors Electionson 07/17/2026 at 12:00 PM
WASHINGTON—FINRA announced today the results of its Board of Governors elections during its annual meeting of member firms on Monday.
- FINRA Taps Christine Kieffer to Lead Investor Education Effortson 07/14/2026 at 12:00 PM
WASHINGTON – FINRA today announced that investor education and protection veteran Christine Kieffer will serve as Senior Vice President of FINRA’s Office of Investor Education and President of the FINRA Investor Education Foundation (FINRA Foundation). The appointment is effective immediately.
Securities and Exchange Commission
Press Releases Official announcements highlighting recent actions taken by the SEC and other newsworthy information.
- SEC Proposes Rescission of Political Contribution...on 09/03/2026 at 8:30 PM
The Securities and Exchange Commission today issued a proposal to rescind its “pay-to-play” rule that prohibits investment advisers from providing compensated investment advisory services to a government client for two years…
- SEC Investor Advisory Committee to Host Sept. 10...on 09/03/2026 at 2:27 PM
The Securities and Exchange Commission’s Investor Advisory Committee will host a public meeting at the SEC Headquarters in Washington D.C. on Sept. 10 at 10 a.m. ET to discuss artificial intelligence technologies in the public markets and the SEC’s…
- SEC Announces Agenda and Panelists for Roundtable...on 09/01/2026 at 7:17 PM
The Securities and Exchange Commission today announced the agenda and panelists for its Sept. 17, 2026, roundtable on preparations for 24-hour trading.The roundtable will be held at the SEC’s headquarters at 100 F Street, N.E., Washington, D.C., from 10…
- SEC Charges San Francisco Bay Area Private Fund...on 09/01/2026 at 5:52 PM
The Securities and Exchange Commission today charged Mark D. Hanf, the former CEO of Novato, California-based Pacific Private Money Group LLC (PPMG), and Hoai-Nam Chu Phan, the former COO of a PPMG subsidiary, with orchestrating an offering fraud that…