Category: financial_markets

• SEC Chairman Atkins and Commissioner Uyeda Issue Statement on Departure of Commissioner Hester Peirce

  1 Oct 2026 4:41 p.m.

  SEC Chairman Paul S. Atkins and Commissioner Mark T. Uyeda have issued a joint statement on the departure of Commissioner Hester Peirce, posted to the agency's Speeches and Statements page.

  Politics and GovernmentBusinessUSAFederal GovernmentFinancial MarketsLegal Securities and Exchange CommissionHester PeircePaul S. AtkinsMark T. UyedaSEC CommissionerGovernment

• SEC's Peirce Calls Custody Rule Proposal a "Roller Coaster Ride"

  1 Oct 2026 4:11 p.m.

  SEC Commissioner Hester M. Peirce has issued a statement on proposed adviser and regulated fund custody rules, including crypto custody rules, titled "Roller Coaster Ride."

  BusinessPolitics and GovernmentUSAFinancial MarketsLegalFederal Government Securities and Exchange CommissionHester M. PeirceCustody RulesCrypto CustodyRegulated FundsInvestment AdvisersSpeeches and Statements

• SEC Proposes Framework for Crypto Asset Custody by Advisers and Funds

  1 Oct 2026 4:01 p.m.

  The SEC has proposed new rules and amendments creating a tailored framework for how registered investment advisers and regulated funds may custody crypto assets under federal securities laws.

  BusinessPolitics and GovernmentUSAFinancial MarketsLegalFederal GovernmentEconomy Securities and Exchange Commissioncrypto assetsinvestment advisersregulated fundscustodyfederal securities lawsbusiness development companies

• SEC Commissioner Uyeda Issues Statement on Proposed Custody Rule Amendments

  1 Oct 2026 4:01 p.m.

  SEC Commissioner Mark T. Uyeda has released a statement on proposed amendments to the custody rules, posted among the agency's speeches and statements.

  BusinessPolitics and GovernmentLaw EnforcementFinancial MarketsLegalFederal Government Securities and Exchange CommissionMark T. Uyedacustody rulesproposed amendmentsSEC CommissionerWashington, DCfinancial regulation

• SEC Chairman Atkins Issues Statement on Proposal Addressing Crypto Asset Custody

  1 Oct 2026 3:50 p.m.

  SEC Chairman Paul S. Atkins has released a statement on a proposal to address the custody of crypto assets under the Investment Advisers Act and the Investment Company Act.

  BusinessPolitics and GovernmentUSAFederal GovernmentFinancial MarketsLegalEconomy SECPaul S. AtkinsCrypto AssetsCustodyInvestment Advisers ActInvestment Company ActWashington DC

• Fed's Bowman Calls for Modernizing Financial Regulation in Atlantic Council Speech

  1 Oct 2026 3:06 p.m. · Source: US Federal Reserve

  Federal Reserve Vice Chair for Supervision Bowman addressed the Atlantic Council 2026 CEO & Senior Management Summit in Washington, D.C., outlining her views on modernizing financial regulation.

  BusinessPolitics and GovernmentUSABankingEconomyFederal GovernmentFinancial Markets Federal ReserveBowmanfinancial regulationAtlantic CouncilWashington, D.C.Board of Governorsbanking supervisionU.S. Federal Reserve

• Treasury Targets A7 Network Shadow Banking Ring Used by Iran to Evade Sanctions

  1 Oct 2026 1:26 p.m. · Source: Financial Crimes Enforcement Network

  FinCEN proposes rule barring fund transmittals tied to the A7 Network's Sub-Agents and issues an alert to help banks spot suspicious activity, as OFAC sanctions the Russia-linked network.

  Politics and GovernmentBusinessLaw EnforcementUSAIranRussiaFederal GovernmentBankingFinancial MarketsLegalMilitary A7 NetworkFinCENIran sanctions evasionOffice of Foreign Assets ControlOperation Economic Outcastshadow bankingFinancial Crimes Enforcement Network

• Treasury Sanctions A7 Network, a Russian-Tied Shadow Banking Web Used by Iran to Evade Sanctions

  1 Oct 2026 1:06 p.m. · Source: US Treasury

  FinCEN proposes rule barring fund transmittals tied to A7 Network Sub-Agents and issues an alert, while OFAC designates the network a significant transnational criminal organization.

  Politics and GovernmentBusinessLaw EnforcementUSAIranRussiaFederal GovernmentBankingFinancial MarketsLegalMilitaryMiddle East A7 NetworkU.S. Department of the TreasuryFinCENOFACIran sanctions evasionOperation Economic OutcastScott BessentUS Treasury

• SEC's Division of Examinations Announces New Exam Handbook

  1 Oct 2026 11:41 a.m.

  The SEC's Division of Examinations published a new handbook replacing its previous examination brochure, offering a practical guide on process and engagement for the firms it examines.

  BusinessPolitics and GovernmentUSAFederal GovernmentFinancial MarketsLegalBanking SECDivision of ExaminationsSEC Exam HandbookSecurities and Exchange CommissionFinancial RegulationExam Handbook

• Mayor Bass Expands Contract Financing Program for Olympic Contracts at Sports and Entertainment Procurement Summit

  1 Oct 2026 11:00 a.m. · Source: LA Mayors Office

  Mayor Karen Bass expands the Contract Financing Program with Banc of California backing, helping small businesses win contracts tied to the 2028 Olympic and Paralympic Games in Los Angeles.

  Politics and GovernmentBusinessSportEconomyEmployment and LaborState GovernmentsFinancial Markets Karen BassContract Financing ProgramBanc of California2028 Olympic and Paralympic GamesSports and Entertainment Procurement SummitMagic JohnsonLos Angeles small businessesLA Mayors Office

• American Airlines to Webcast Third-Quarter 2026 Financial Results on Oct. 22

  1 Oct 2026 10:02 a.m. · Source: American Airlines

  American Airlines Group will webcast a live audio feed of its third-quarter 2026 financial results conference call on Oct. 22 at 7:30 a.m. CT.

  BusinessMediaUSAFinancial MarketsEconomy American Airlines GroupNASDAQ: AALthird-quarter 2026 financial resultswebcastconference callAmerican Airlinesearnings

• Media Monitor: WSJ Opinion Roundup Cites Accelerating U.S. Economy, Foiled Hijacking

  1 Oct 2026 5:11 a.m. · Source: Wall Street Journal Editorial Board

  The Wall Street Journal's editorial board says U.S. economic growth and investment are picking up, and highlights passengers who fought back against a would-be hijacker on a flydubai flight to Tel Aviv.

  BusinessPolitics and GovernmentMediaEconomyFinancial MarketsElectionLegalArtificial IntelligenceFilm and TVMilitary Wall Street JournalU.S. economyflydubai hijackingFederal ReserveUkraine drones2026 midterm electionsMinnie EvansWall Street Journal Editorial Board

• Media Monitor: ICIJ Reports Treasury Exemption for Russia-Linked Copper Mine Deal, Huawei Trial and China Capital Fallout

  30 Sep 2026 6:12 p.m. · Source: ICIJ

  ICIJ reports a U.S. Treasury sanctions exemption let a Texas firm tied to a Trump donor buy Armenia's Teghut copper mine from Russia's VTB Bank, plus Huawei trial and China Capital fallout.

  BusinessPolitics and GovernmentLaw EnforcementMediaUSAChinaMaltaBankingFinancial MarketsLegalEconomyMedia Bias ICIJVTB BankKonstantin SokolovTeghut copper mineU.S. Treasury sanctions exemptionHuaweiChina Capital investigation

• SEC Staff Issue Statement on Trump Accounts

  30 Sep 2026 6:01 p.m.

  The SEC's Divisions of Investment Management and Corporation Finance have posted a joint staff statement on Trump Accounts, newly available in the agency's Speeches and Statements section.

  BusinessPolitics and GovernmentUSAFederal GovernmentFinancial MarketsLegal SECTrump AccountsDivision of Investment ManagementDivision of Corporation FinanceSecurities and Exchange CommissionStaff Statement

• SEC's Uyeda Issues Statement on Proposed Amendments to Adviser Performance-Based Compensation, Interval Fund Modernization, and Multiple Share Class Rules

  30 Sep 2026 4:41 p.m.

  SEC Commissioner Mark T. Uyeda has released a statement on proposed amendments covering adviser performance-based compensation, interval fund modernization, and multiple share class rules for closed-end funds and BDCs.

  BusinessPolitics and GovernmentUSAFinancial MarketsFederal GovernmentLegalEconomy SECMark T. UyedaInterval Fund ModernizationClosed-End FundsBusiness Development CompaniesPerformance-Based CompensationMultiple Share Class Rules

• SEC Staff Issues Statement on Affiliations Between National Securities Exchanges and Broker-Dealers

  30 Sep 2026 3:31 p.m.

  The SEC's Division of Trading and Markets has published a staff statement addressing affiliations between national securities exchanges and broker-dealers, posted to the agency's speeches and statements page.

  BusinessPolitics and GovernmentUSAFinancial MarketsFederal GovernmentLegal Securities and Exchange CommissionDivision of Trading and MarketsNational Securities ExchangesBroker-DealersStaff StatementFinancial Regulation

• SEC Charges Meyer Global Management and CEO Owen Meyer With Defrauding Retail Investors in Pre-IPO Funds

  30 Sep 2026 3:21 p.m.

  The SEC has charged private fund adviser Meyer Global Management and CEO Owen E.H. Meyer with defrauding investors in funds holding interests in SpaceX and other pre-IPO securities.

  BusinessLaw EnforcementUSAFinancial MarketsLegalBanking SECMeyer Global ManagementOwen E.H. MeyerSpaceXpre-IPO securitiesprivate fundsretail investors

• CFTC Wins $31 Million Default Judgment Over Digital Assets and Precious Metals Fraud

  30 Sep 2026 3:17 p.m.

  A Florida court ordered Brian Early and Alisha Ann Kingrey to pay over $31 million for their roles in a Fundsz digital assets and precious metals fraud, with consent orders against two other defendants.

  Law EnforcementBusinessLegalFinancial MarketsUSA Commodity Futures Trading CommissionFundszdigital assets fraudprecious metals fraudBrian EarlyAlisha Ann Kingreydefault judgment

• SEC's Peirce Delivers 'The Other AI' Remarks on Accredited Investor Notices

  30 Sep 2026 2:21 p.m.

  SEC Commissioner Hester M. Peirce has delivered remarks titled "The Other AI" at an Open Commission Meeting on accredited investor notices under Rule 501(a)(10) of Regulation D.

  BusinessPolitics and GovernmentUSAFederal GovernmentFinancial MarketsLegalEconomy Securities and Exchange CommissionHester M. PeirceRegulation Daccredited investorRule 501(a)(10)Open Commission MeetingSpeeches and Statements

• SEC's Peirce Issues Statement on Proposals to Facilitate Retail Investor Access to Private Investments

  30 Sep 2026 2:11 p.m.

  SEC Commissioner Hester M. Peirce has released a statement titled "Performance Interval" addressing proposals aimed at facilitating retail investor access to private investments.

  BusinessPolitics and GovernmentUSAFinancial MarketsFederal GovernmentEconomyLegal Securities and Exchange CommissionHester M. Peirceretail investor accessprivate investmentsPerformance IntervalSEC speeches and statementsfinancial regulation

• SEC Charges Two Individuals With Orchestrating Fraud Scheme That Targeted Veterans

  30 Sep 2026 2:01 p.m.

  The SEC has charged Christopher Kenji Dinelli and Jacob David "Kobe" Frankel over an alleged fraud scheme that raised more than $8.7 million from 35 investors through their fund, Beyond.

  Law EnforcementBusinessUSALegalFinancial MarketsMilitary SECChristopher Kenji DinelliJacob David Frankelfraud schemeveteransBeyond fundSecurities and Exchange Commission

• OCC Issues Revised "Concentrations of Credit" Handbook Booklet

  30 Sep 2026 1:46 p.m. · Source: Office of the Comptroller of the Currency (OCC)

  OCC releases version 3.0 of its Concentrations of Credit booklet, rescinding the 2020 edition, with new guidance on securitizations, correlations and risk management practices for banks of all sizes.

  BusinessBankingFinancial MarketsLegalFederal Government Office of the Comptroller of the CurrencyConcentrations of CreditComptroller's HandbookOCC Bulletin 2020-90bank supervisioncredit risksecuritizationsOffice of the Comptroller of the Currency (OCC)

• SEC Proposes Amendments to Expand Responsible Retailization of Private Markets

  30 Sep 2026 11:51 a.m.

  The SEC voted to propose rule amendments aimed at facilitating capital formation in public and private markets by expanding retail investor choice and promoting innovation in regulated fund structures.

  BusinessPolitics and GovernmentUSAFinancial MarketsFederal GovernmentEconomyLegal Securities and Exchange CommissionSEC rule amendmentscapital formationretail investorsprivate marketsregulated fund structuresretailization

• OCC: Bank Trading Revenue Jumps 30.6% to $21.6B in Q2 2026

  30 Sep 2026 11:18 a.m. · Source: Office of the Comptroller of the Currency (OCC)

  U.S. commercial banks and savings associations posted $21.6 billion in second-quarter 2026 trading revenue, up 32.5% from the prior quarter, as derivative notional amounts rose to $300.5 trillion.

  BusinessBankingFinancial MarketsEconomyFederal GovernmentUSA Office of the Comptroller of the Currencybank trading revenuederivativesU.S. commercial bankssavings associationsinterest rate productsQuarterly Report on Bank Trading and Derivatives ActivitiesOffice of the Comptroller of the Currency (OCC)

• Treasury Sanctions Tren de Aragua ATM Jackpotting Network After Millions Stolen From U.S. Banks

  30 Sep 2026 10:43 a.m. · Source: US Treasury

  OFAC designated 10 targets tied to a Tren de Aragua ATM jackpotting scheme that has stolen millions from U.S. financial institutions, including a fugitive on the FBI's Ten Most Wanted list.

  Politics and GovernmentLaw EnforcementBusinessUSAVenezuelaMexicoFederal GovernmentBankingLegalFinancial MarketsComputers and Internet Tren de AraguaOFACATM jackpottingU.S. Department of the TreasuryScott BessentAnibal Alexander Canelon AguirresanctionsUS Treasury

• SEC Chairman Atkins Statement at Open Meeting on Expanding Responsible Retailization of Private Markets

  30 Sep 2026 10:21 a.m.

  SEC Chairman Paul S. Atkins issued a statement at an open meeting on proposals to expand responsible retailization of private markets, the agency announced.

  BusinessPolitics and GovernmentUSAFinancial MarketsFederal GovernmentLegal Securities and Exchange CommissionPaul S. Atkinsprivate marketsretailizationopen meetingSpeeches and Statements

• Treasury and Education Departments Launch Online Portal for Defaulted Student Loan Borrowers

  30 Sep 2026 10:07 a.m. · Source: US Treasury

  New Defaulted Loans Support Center lets borrowers with defaulted federal student loans apply online to rehabilitate or consolidate, replacing decades-old paper processes, Treasury and Education announce.

  Politics and GovernmentBusinessEducationFederal GovernmentEconomyBankingFinancial MarketsSocial Issues Defaulted Loans Support CenterU.S. Department of the TreasuryU.S. Department of Educationfederal student loansstudent loan defaultTreasury-ED Federal Student Assistance Partnershiploan rehabilitationUS Treasury

• United to Hold Webcast of Third-Quarter 2026 Financial Results

  30 Sep 2026 10:04 a.m.

  United Airlines will release third-quarter 2026 results after market close on October 20 and host a listen-only webcast of its conference call the following morning at 9:30 a.m. CT.

  BusinessMediaUSAFinancial MarketsEconomyTransportation United Airlinesthird-quarter 2026 financial resultsconference callwebcastChicagoairline earningsavailable seat miles

• Federal Reserve Finalizes Changes to Stress Test Transparency and Capital Requirements

  30 Sep 2026 9:06 a.m. · Source: US Federal Reserve

  The Federal Reserve Board has finalized changes aimed at enhancing transparency and public accountability in its stress tests while reducing volatility in stress test-related capital requirements.

  BusinessPolitics and GovernmentUSABankingFinancial MarketsFederal GovernmentEconomy Federal Reserve Boardstress testcapital requirementsbank regulationfinancial regulationBoard of Governors of the Federal Reserve SystemWashington DCU.S. Federal Reserve

• OCC Comptroller Gould Votes Against Resolution Plan Feedback for American Express, Calls for Dodd-Frank Reforms

  29 Sep 2026 5:10 p.m. · Source: Office of the Comptroller of the Currency (OCC)

  Comptroller of the Currency Jonathan V. Gould voted against joint FDIC and Federal Reserve resolution plan feedback to American Express, saying the process remains unclear and unfair and urging reforms to Section 165(d).

  BusinessPolitics and GovernmentUSABankingFederal GovernmentFinancial MarketsLegal Jonathan V. GouldOffice of the Comptroller of the CurrencyAmerican ExpressFederal Deposit Insurance CorporationFederal Reserve BoardDodd-Frank Act Section 165(d)Resolution PlanningOffice of the Comptroller of the Currency (OCC)

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