Industry News
News items posted here are direct RSS feeds from related industry releases. These items are not published or created by NAFER.
- Investment Scams Involving Fake Form 4 Filings: Updated Investor Alerton July 2, 2025
The SEC’s Office of Investor Education and Advocacy is issuing this updated Investor Alert to warn about fraudsters sending investors fake Form 4 filings as part of a scam.
- Crypto Asset Exchange-Traded Productson July 1, 2025
Statement on Crypto Asset Exchange-Traded Products Division of Corporation Finance July 1, 2025
- Crypto Asset Exchange-Traded Productson July 1, 2025
Statement on Crypto Asset Exchange-Traded Products Division of Corporation Finance July 1, 2025
- Issues Revisited: Titles, Amendments to Rule 15c2-12 Undertakings and Voluntary Disclosureon June 30, 2025
speech-GFOA-06302025
- Remarks at the Executive Compensation Roundtableon June 26, 2025
Remarks at the Executive Compensation Roundtable Chairman Paul S. Atkins Washington, D.C. June 26, 2025
- Spare the Trees So Investors Can See the Forest: Remarks before the Executive Compensation Roundtableon June 26, 2025
Spare the Trees So Investors Can See the Forest: Remarks before the Executive Compensation Roundtable Commissioner Hester M. Peirce June 26, 2025
- Statement at the Executive Compensation Roundtableon June 26, 2025
Statement at the Executive Compensation Roundtable Commissioner Caroline A. Crenshaw June 26, 2025
- Statement at the Executive Compensation Roundtableon June 26, 2025
Statement at the Executive Compensation Roundtable Commissioner Caroline A. Crenshaw June 26, 2025
- Remarks at the Executive Compensation Roundtableon June 26, 2025
Remarks at the Executive Compensation Roundtable Commissioner Mark T. Uyeda Washington D.C. June 26, 2025
- SEC Publishes Data on Broker-Dealers, Mergers & Acquisitions, and Business Development Companieson June 26, 2025
The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) has published new reports and data on broker-dealers, mergers and acquisitions (M&A), and business development companies (BDCs). Today’s reports provide the…
- SEC Extends Compliance Date to Help Broker-Dealers Fully Test and Implement Daily Reserve Computation Requirementon June 25, 2025
The Securities and Exchange Commission today voted to extend the compliance date to June 30, 2026, for the amendments to Rule 15c3-3 (the broker-dealer customer protection rule) that the Commission adopted on Dec. 20, 2024. The amendments require certain…
- SEC Office of the Investor Advocate Delivers to Congress Report on Objectives for Fiscal Year 2026on June 25, 2025
The Securities and Exchange Commission’s Office of the Investor Advocate today delivered its Report to Congress on the office’s objectives for fiscal year 2026. As detailed in the report, the Investor Advocate’s priorities for fiscal year 2026…
- Regulators to Hold Outreach Event for Municipal Market Professionalson June 25, 2025
The Securities and Exchange Commission, the Municipal Securities Rulemaking Board (MSRB) and the Financial Industry Regulatory Authority (FINRA) today announced that registration is now open for the 2025 Joint Compliance Outreach Program, a two-day event…
- Statement on Jury’s Verdict in Trial of Thomas F. Caseyon June 24, 2025
Statement on Jury’s Verdict in Trial of Thomas F. Casey Sam Waldon, Acting Director, Division of Enforcement June 24, 2024
- Statement on Jury’s Verdict in Trial of Thomas F. Caseyon June 24, 2025
Statement on Jury’s Verdict in Trial of Thomas F. Casey Sam Waldon, Acting Director, Division of Enforcement June 24, 2024
- Kevin Muhlendorf Named SEC Inspector Generalon June 23, 2025
The Securities and Exchange Commission today announced that Kevin Muhlendorf will be the agency’s new Inspector General, effective July 28. Mr. Muhlendorf is a former SEC and Justice Department attorney who for the past nine years has been a partner in…
- Making Sense of Financial Professional Designations: Investor Bulletinon June 20, 2025
The Securities and Exchange Commission’s (SEC) Office of Investor Education and Advocacy, the North American Securities Administrators Association (NASAA), and the Financial Industry Regulatory Authority (FINRA) are issuing this Investor Bulletin to help investors better understand the designations financial professionals use.
- SEC Announces Departure of David Saltielon June 18, 2025
The Securities and Exchange Commission today announced that David Saltiel, who has served as Acting Director of the Division of Trading and Markets, will depart the agency effective July 4, 2025. He has served as Acting Director since December 2024, and…
- SEC Names Erik Hotmire as Chief External Affairs Officer and Director of the Office of Public Affairson June 13, 2025
The Securities and Exchange Commission today announced that Erik Hotmire will return to the SEC as Chief External Affairs Officer and Director of the Office of Public Affairs, effective June 16, 2025. “I am delighted that Erik is coming back to…
- SEC Names Kurt Hohl as Chief Accountanton June 13, 2025
The Securities and Exchange Commission today announced that Kurt Hohl, with nearly 40 years of accounting and auditing experience, has been named Chief Accountant, effective July 7, 2025. Acting Chief Accountant Ryan Wolfe will return to his role as…