Financial Industry Regulatory Authority
- FINRA Announces Appointment of Four New Board Governorson 01/06/2026 at 12:00 PM
FINRA today announced the appointment of four new Governors to its Board of Governors: Rostin “Russ” Behnam, Tim Carter, Dan Gallagher and Heather Traeger.
- FINRA Orders American Portfolios Financial Services to Pay $4.6 Million in Restitution for Overcollection of Fees, Retention of Surplus Intereston 12/30/2025 at 12:00 PM
FINRA has ordered American Portfolios Financial Services, Inc. (APFS) to pay $4.6 million in restitution to customers impacted by the firm’s inaccurate representation of how it calculated its fees and its retention of undisclosed, surplus interest.
- Report From FINRA Board of Governors Meeting – December 2025on 12/22/2025 at 12:00 PM
Board Approved 2026 Budget, Rule Proposals for Electronic Delivery and Customer Protection from Financial Exploitation
- FINRA Publishes 2026 Regulatory Oversight Report to Empower Member Firm Complianceon 12/09/2025 at 12:00 PM
Report Highlights Trends in Generative AI, Small Cap and Cyber-Enabled Fraud, Among Other Topics
Securities and Exchange Commission
Press Releases Official announcements highlighting recent actions taken by the SEC and other newsworthy information.
- SEC Investor Advisory Committee to Host March 12...on 03/05/2026 at 3:30 PM
The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting at the SEC Headquarters in Washington D.C. on March 12 at 10 a.m. ET to discuss public company disclosure reform, fund proxy voting, and a potential…
- SEC Announces Roundtable on Options Market...on 03/05/2026 at 3:09 PM
The Securities and Exchange Commission announced today that it will host a roundtable on April 16, 2026, to discuss listed options market structure, including facilitating competition in a quote driven market, evaluating the customer experience, and…
- SEC Adopts Final Rules for the Holding Foreign...on 02/27/2026 at 4:00 PM
The Securities and Exchange Commission today adopted final rule and form amendments to reflect the requirements of the recently enacted Holding Foreign Insiders Accountable Act (HFIA), which will increase transparency into the holdings and transactions…
- SEC, FSA Hold Spring Financial Regulatory Dialogueon 02/27/2026 at 2:55 PM
The U.S. Securities and Exchange Commission (SEC) and the Financial Services Agency of Japan (FSA) convened the Spring SEC-FSA Financial Regulatory Dialogue in Tokyo on Feb. 27, 2026.The SEC–FSA Dialogue builds upon longstanding efforts between the two…