SEC Proposes to Scrap Shareholder Proposal Rule, Ease Proxy Requirements for BDCs and Registered Funds

September 16, 2026

SEC Advances Rule to Open Private Markets to Retail Investors

September 2, 2026

SEC Transfer Agent Overhaul Would Write Blockchain Into the Rulebook

September 1, 2026

SEC OKs FINRA Amendments Expanding Private Placement Exemptions, Easing REIT and DPP Capital Rules

July 30, 2026

SEC Spotlights Private Markets Access, Deregulatory Posture in Draft Strategic Plan

June 2, 2026

DST.com Joins Concorde Investment Services, Adding DST Marketplace and Adviser Business Development Platform

March 27, 2026

FINRA Board Greenlights Five Rule Proposals Under Modernization Initiative

March 12, 2026

SEC, CFTC Sign Historic Cooperation Pact to Modernize U.S. Financial Markets Oversight

March 11, 2026

Navigating the SEC’s Path Toward Digital Modernization

March 5, 2026

Representatives Introduce Legislation to Modernize Financial Adviser Payment Rules

January 22, 2026

From Boomers to Gen Z: How Advisers Can Capitalize on the $124T Wealth Transfer

January 22, 2026

Research: Advisers Want More Accessible Educational Materials on Alternative Investments

December 25, 2025

House Passes INVEST Act to Modernize Capital Markets, Expand Investor Access

December 11, 2025

SEC’s Accredited Investor Definition Challenged in Federal Lawsuit

September 9, 2025

FINRA to Streamline Delivery of Required Information Via System Enhancements

August 27, 2025

House Passes Accredited Investor Bill to Create Qualifying FINRA Exam

July 22, 2025

House Passes Bill to Expand Accredited Investor Definition

June 25, 2025

FINRA Extends Comment Periods for Rule Modernization Notices

May 7, 2025

FINRA Initiative Seeks to Update Rules, Improve Compliance, Limit Fraud

April 23, 2025

From Barrier to Breakthrough? Thoughts On the 506(c) Interpretive Letter

April 1, 2025