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 1, 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.
- 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…
- 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…
- Brian Daly Named Director of Division of Investment Managementon June 13, 2025
The Securities and Exchange Commission today announced that investment management industry leader Brian T. Daly will become the new Director of the Division of Investment Management, effective July 8. Mr. Daly brings decades of experience serving in…
- SEC Names Jamie Selway as Director of Trading and Marketson June 13, 2025
The Securities and Exchange Commission today announced the appointment of Jamie Selway, an accomplished financial markets leader, as Director of the Division of Trading and Markets, effective June 17, 2025. “I’d like to welcome Jamie to the SEC,” said…
- Further Extension of Form PF Amendments Compliance Dateon June 11, 2025
The Securities and Exchange Commission, together with the U.S. Commodity Futures Trading Commission, today voted to extend the compliance date until Oct. 1, 2025, for the amendments to Form PF that were adopted on Feb. 8, 2024. The compliance date for…
- SEC Announces Agenda and Panelists for Roundtable on Executive Compensation Disclosure Requirementson June 11, 2025
The Securities and Exchange Commission today announced the agenda and panelists for the June 26, 2025, roundtable on executive compensation. The roundtable will be held at the SEC’s headquarters at 100 F Street, N.E., Washington, D.C., from 1 p.m. – 5:…
- Natasha Vij Greiner Will Conclude Her Tenure as Director of Investment Managementon June 10, 2025
The Securities and Exchange Commission today announced that Natasha Vij Greiner, Director of the Division of Investment Management, will depart the agency effective July 4, 2025, after more than 23 years of public service. “Natasha’s steadfast…
- SEC to Resume Processing of Registration Applications From Swiss-Based Investment Adviserson June 10, 2025
The Securities and Exchange Commission announced today that it will immediately resume processing new and pending registration applications of investment advisers with their principal office and place of business in Switzerland. This…
- SEC Solicits Public Comment on the Foreign Private Issuer Definitionon June 4, 2025
The SEC published a concept release soliciting public comment on the definition of foreign private issuer.
- Natalia Díez Riggin Named Senior Advisor and Director of Legislative and Intergovernmental Affairson June 2, 2025
The Securities and Exchange Commission today announced that Natalia Díez Riggin has been named Senior Advisor and Director of the agency’s Office of Legislative and Intergovernmental Affairs. Ms. Riggin has been serving as Acting Director since joining…
- SEC Investor Advisory Committee to Examine Pass-Through Voting and Other Means of Reaching the Ultimate Beneficial Owner; Discuss Market Perspectives on Non-GAAP Financial Disclosures at June 5 Meetingon May 29, 2025
The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting at the SEC Headquarters in Washington D.C. on June 5, 2025, at 10 a.m. ET. The meeting will also be webcast on the SEC website. The committee will host two…
- SEC Publishes Data on Regulation A, Crowdfunding Offerings, and Private Fund Beneficial Ownership Concentrationon May 28, 2025
The Securities and Exchange Commission’s Division of Economic and Risk Analysis has published three new reports that provide the public with information on capital formation and beneficial ownership of qualifying private funds. The first two papers—…