Financial Industry Regulatory Authority
- FINRA Makes Investor Education Content Available on Zogo Financial Learning Platform
on 10/21/2026 at 12:00 PMWASHINGTON—As part of its commitment to expanding investors’ access to trusted information, FINRA announced today that its investor education content is now available on Zogo, a gamified financial learning platform.
- FINRA Launches Enhanced Investor Education and Protection Tools to Help Research Markets and Recognize Fraudon 10/13/2026 at 12:00 PM
WASHINGTON—In a continuing effort to empower investors with the tools and knowledge they need to make informed financial decisions and avoid fraud, FINRA announced today the launch of the Market Data and Investments Explorer, as well as enhanced Risk and Scam Meters.
- Report From FINRA Board of Governors’ September Meetingon 10/08/2026 at 12:00 PM
WASHINGTON—At its meeting Sept. 29-30, the FINRA Board of Governors approved four rule proposals for filing with the SEC and received briefings on key initiatives, including FINRA's ongoing rule modernization efforts.
- FINRA Fines Revere Securities $800,000 for Small-Cap IPO-Related AML and Supervisory Failureson 10/06/2026 at 12:00 PM
WASHINGTON—FINRA has fined Revere Securities LLC $800,000 for anti-money laundering (AML) and supervisory violations related to small-cap initial public offerings (IPOs) for foreign-based issuers. As part of the settlement, FINRA also required Revere to retain a third-party consultant to conduct […]
Securities and Exchange Commission
Press Releases Official announcements highlighting recent actions taken by the SEC and other newsworthy information.
- SEC and AMF Announce Supervisory MOU To Enhance...on 10/20/2026 at 1:25 PM
The U.S. Securities and Exchange Commission (SEC) and the French Autorité des Marchés Financiers (AMF) announced that they have entered into a Memorandum of Understanding (MOU) designed to facilitate consultation and information-sharing in the…
- SEC, FSA Hold Autumn Financial Regulatory Dialogueon 10/20/2026 at 12:51 PM
The U.S. Securities and Exchange Commission (SEC) and the Financial Services Agency of Japan (FSA) convened the Autumn SEC-FSA Financial Regulatory Dialogue in Tokyo on Oct. 19, 2026.The SEC–FSA Dialogue builds upon longstanding efforts between the two…
- SEC Announces Roundtable on...on 10/19/2026 at 5:19 PM
The Securities and Exchange Commission announced today that it will host a roundtable on November 9, 2026, to discuss the use of machine-understandable data and Super Intelligence (SI) and related risks and costs.“In the age of SI, high-quality…
- SEC Small Business Advisory Committee to Discuss...on 10/14/2026 at 2:30 PM
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee announced that it will hold a meeting on Tuesday, October 27, 2026, at 10 a.m. to continue discussing IPO modernization and explore potential policy…