Financial Industry Regulatory Authority
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FINRA Announces Appointment of New Public Governor
on 05/22/2025 at 12:00 PM
WASHINGTON—FINRA announced today the appointment of Stephen Luparello as a public governor on its Board of Governors. […]
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FINRA Statement to Correct Misinformation About FINRA’s Outside Activities Proposal
on 05/05/2025 at 12:00 PM
FINRA recently proposed amendments to streamline and reduce unnecessary burdens regarding existing requirements addressing outside activities of broker-dealers’ associated persons. Unfortunately, several recent statements published in news media mischaracterize FINRA’s proposal in a number of […]
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FINRA Announces New “FINRA Forward” Initiatives to Support Members, Markets and Investors
on 04/21/2025 at 12:00 PM
WASHINGTON—FINRA announced today the launch of FINRA Forward, a series of initiatives to improve its effectiveness and efficiency in pursuing its mission. The Three FINRA Forward initiatives: […]
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FINRA Statement on Chairman Atkins’ Confirmation
on 04/09/2025 at 12:00 PM
Congratulations to Chairman Atkins on his confirmation. FINRA looks forward to working with Chairman Atkins, the other Commissioners and SEC staff to fulfill its vital mission of protecting investors and safeguarding market integrity. FINRA stands ready to support Chairman Atkins’ efforts to […]
Securities and Exchange Commission
Press Releases Official announcements highlighting recent actions taken by the SEC and other newsworthy information.
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SEC Charges Former Real-Estate Investment CEO...
on 05/22/2025 at 6:15 PM
The Securities and Exchange Commission today charged San Francisco Bay Area resident Kenneth Mattson, the former CEO of real estate investment business LeFever Mattson, with defrauding approximately 200 investors of at least $46 million by selling them… […]
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Unicoin, Top Executives Charged in Offering Fraud...
on 05/20/2025 at 11:45 PM
The Securities and Exchange Commission today charged New York City-based Unicoin, Inc. and three of its top executives—CEO and Board Chairman Alex Konanykhin; Silvina Moschini, former president, former board chairwoman, and current board member; and… […]
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Katherine Reilly Named SEC Acting Inspector...
on 05/19/2025 at 11:30 PM
The Securities and Exchange Commission today announced the appointment of Katherine Reilly as the agency’s Acting Inspector General. Ms. Reilly is currently serving as a Deputy Inspector General at the SEC. She replaces Deborah Jeffrey, who has… […]
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SEC Announces Roundtable on Executive...
on 05/16/2025 at 2:55 PM
The Securities and Exchange Commission announced today that it will host a roundtable on June 26, 2025, to discuss executive compensation disclosure requirements. SEC Chairman Paul S. Atkins issued a statement today regarding the roundtable, including… […]