Capture
FINRA Compliance Podcasts
- Investors in the United States: Key Trends and Insights from the National Financial Capability Study
- Navigating the 2026 Regulatory Oversight Report: Key Insights from FINRA Leadership
- Making Your Voice Heard Through FINRA Member Engagement
- Building Cybersecurity Resilience Through FINRA Forward
- A Conversation with FINRA CEO Robert Cook and Small Firm Advisory Committee Chair Preston Haxo
- Encore | Investing Wisely in 2025: Avoiding Scams and Achieving Your Financial Goals
- Previewing FINRA’s Crypto and Blockchain Education Program
SEC News
- J. Russell McGranahan Named SEC General Counsel
- Paul Tzur and David Morrell Named Deputy Directors of the Division of Enforcement
- SEC to Host Hybrid Event on Regulation S-P for Small Firms
- SEC Publishes Staff Report on Capital-Raising Dynamics
- SEC Proposes Amendments to the Small Entity Definitions for Investment Companies and Investment Advisers for Purposes of the Regulatory Flexibility Act
- Deputy Director of Enforcement Nekia Hackworth Jones Concludes Her Tenure at the SEC
- SEC Announces Retirement of Division of Corporation Finance Deputy Director Cicely LaMothe