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 15, 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.
- Statement Regarding Tenure of Erica Williams at the PCAOBon July 15, 2025
Statement Regarding Tenure of Erica Williams at the PCAOB Chairman Paul S. Atkins July 15, 2025
- Investor Alert: Look Out For Possible Investment Scams Related to the Texas Floodson July 15, 2025
The SEC’s Office of Investor Education and Advocacy (OIEA) urges investors to be vigilant for investment scams related to natural disasters, including the recent Texas floods.
- SEC Charges Georgia-based First Liberty Building & Loan and its Owner for Operating a $140 Million Ponzi Schemeon July 10, 2025
The Securities and Exchange Commission today announced that it filed charges seeking an asset freeze and other emergency relief against Newnan, Georgia-based First Liberty Building & Loan, LLC and its founder and owner Edwin Brant Frost IV in…
- Enchanting, but Not Magical: A Statement on the Tokenization of Securitieson July 9, 2025
Enchanting, but Not Magical: A Statement on the Tokenization of Securities Commissioner Hester M. Peirce July 9, 2025
- Enchanting, but Not Magical: A Statement on the Tokenization of Securitieson July 9, 2025
Enchanting, but Not Magical: A Statement on the Tokenization of Securities Commissioner Hester M. Peirce July 9, 2025
- SEC Small Business Advisory Committee to Discuss Regulatory Framework for Finders and Continue Exploring Regulation Aon July 7, 2025
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee announced that it will hold a meeting at the SEC Headquarters in Washington D.C on Tuesday, July 22, 2025 at 10 a.m. E.T. The meeting will be open to the public…
- 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