FINRA News and Updates

  • Ashutosh Sureka
  • 04.06.2026
Blackstone Private Credit Fund gets SEC staff relief on share class sales charge calculations
Blackstone Private Credit Fund receives SEC staff assurance that it would not face a recommendation for enforcement action if it issues multiple share classes under its exemptive order without ...
  • Ashutosh Sureka
  • 04.06.2026
SEC investor committee reviews private fund redemption risks and passive voting concentration
The U.S. securities regulator is using its Investor Advisory Committee meeting to examine how investors understand complex private market products and how large passive fund managers influence ...
  • Ciaran Ryan
  • 02.06.2026
Andrew Left conviction exposes $21 million stock manipulation scheme
Federal prosecutors have secured a jury conviction against activist short seller Andrew Left in Los Angeles over a long-running securities fraud scheme tied to his market-moving stock commentary. ...
  • Ciaran Ryan
  • 01.06.2026
FINRA industry snapshot shows firm concentration and record U.S. trading activity
The U.S. securities industry continues to expand in headcount while trading volumes reach new highs, even as the number of firms keeps shrinking. FINRA says its 2026 Industry Snapshot highlights a ...