Financial Industry Regulatory Authority
- FINRA Foundation Research Reveals Gaps in Fraud Awareness That May Leave Americans Vulnerable
on 07/22/2026 at 12:00 PMWASHINGTON—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.
- FINRA Expels Reid & Rudiger, Bars Cofounderson 06/17/2026 at 12:00 PM
WASHINGTON—FINRA has expelled from membership Reid & Rudiger LLC (the firm) and barred cofounders Clifford Reid and CEO Edward Rudiger, Jr. from association with any member firm for churning and excessively trading customer accounts in violation of Regulation Best Interest (Reg BI) and […]
Securities and Exchange Commission
Press Releases Official announcements highlighting recent actions taken by the SEC and other newsworthy information.
- SEC Announces Departure of Principal Deputy...on 07/22/2026 at 1:45 PM
The Securities and Exchange Commission today announced that Sam Waldon, Principal Deputy Director of the Division of Enforcement, will depart the agency on July 31, 2026, after more than 14 years at the SEC. He will be succeeded as Principal Deputy…
- SEC Proposes New E-Delivery Approach to Make...on 07/16/2026 at 12:57 PM
The Securities and Exchange Commission today proposed Regulation E-Delivery, a new rule that would expand the ability of issuers, broker-dealers, investment advisers, and others to use electronic delivery to satisfy information delivery requirements…
- SEC Office of Municipal Securities Updates FAQs...on 07/10/2026 at 4:00 PM
The Securities and Exchange Commission’s Office of Municipal Securities today announced it has updated its Registration of Municipal Advisors FAQs webpage to offer more clarity on municipal advisor registration and recordkeeping requirements. The…
- SEC to Host Virtual Roundtable on Modernizing...on 07/08/2026 at 5:54 PM
The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation and the Division of Corporation Finance will co-host a livestreamed discussion on Monday, July 13, 2026, at 2 p.m. to re-examine…