Tag: financial_regulation
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SEC and France's AMF Sign Supervisory MOU to Boost Cooperation on Investment Advisers
The U.S. Securities and Exchange Commission and France's Autorité des Marchés Financiers have entered a Memorandum of Understanding to share information and consult on investment advisers and investment service providers.
BusinessPolitics and GovernmentLaw EnforcementFinancial MarketsBankingLegalEurope SECAutorité des Marchés FinanciersMemorandum of Understandinginvestment advisersinvestment service providersfinancial regulation
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SEC to Host Roundtable on Machine-Understandable Data in the Age of Super Intelligence
The Securities and Exchange Commission will hold a November 9, 2026 roundtable on machine-understandable data and Super Intelligence, examining related risks and costs.
BusinessScience & TechnologyPolitics and GovernmentFederal GovernmentArtificial IntelligenceFinancial MarketsComputers and Internet Securities and Exchange CommissionSuper Intelligencemachine-understandable dataroundtablefinancial regulation
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CFTC Proposes Rule to Classify Event Contracts as Swaps
The CFTC seeks public comment on a proposed rule that would expressly define event contracts, including sports, politics, cultural and weather-related events, as swaps.
Politics and GovernmentBusinessUSAFederal GovernmentFinancial MarketsLegalEconomy CFTCevent contractsswapNotice of Proposed RulemakingCommodity Futures Trading Commissionfinancial regulationpublic comment
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SEC Proposes Expanding Securities Eligible for Cross Trading by Registered Funds
Chairman Paul S. Atkins and Commissioner Mark T. Uyeda each issued statements on the proposed amendments to the Investment Company Act cross-trading rule, which is subject to public comment before any changes are finalized.
BusinessPolitics and GovernmentUSAFinancial MarketsFederal GovernmentLegal SECPaul S. AtkinsInvestment Company Cross TradingProposed AmendmentsSecurities and Exchange CommissionFinancial RegulationMark T. Uyedacross-trading rulesSEC speeches and statementsInvestment Company Actcross-trading ruleregistered fundssecurities regulationmutual funds
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SEC Commissioner Uyeda Issues Statement on Proposed Custody Rule Amendments
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
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Fed's Bowman Calls for Modernizing Financial Regulation in Atlantic Council Speech
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
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SEC's Division of Examinations Announces New Exam Handbook
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
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SEC Staff Issues Statement on Affiliations Between National Securities Exchanges and Broker-Dealers
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
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SEC's Peirce Issues Statement on Proposals to Facilitate Retail Investor Access to Private Investments
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
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Federal Reserve Finalizes Changes to Stress Test Transparency and Capital Requirements
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
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Federal Reserve and Agencies Publish Resolution Plan Feedback Letters for 15 Banking Organizations
Federal banking agencies released resolution plan feedback letters for 15 banking organizations, detailing their assessments of how the firms could be wound down in an orderly way.
BusinessPolitics and GovernmentUSABankingFederal GovernmentEconomy Federal ReserveResolution PlansBanking OrganizationsBoard of GovernorsFederal Reserve SystemBank RegulationFinancial RegulationU.S. Federal Reserve
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Federal Reserve Releases Senior Credit Officer Opinion Survey on Dealer Financing Terms
The Federal Reserve Board has published its Senior Credit Officer Opinion Survey on Dealer Financing Terms, a regular assessment of credit conditions in dealer financing markets.
BusinessPolitics and GovernmentUSAFederal GovernmentBankingFinancial MarketsEconomy Federal Reserve BoardSenior Credit Officer Opinion SurveyDealer Financing TermsWashington DCCredit ConditionsFinancial RegulationU.S. Federal Reserve
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SEC Commissioner Peirce Issues "Slumber Number" Innovation Exemption Statement
SEC Commissioner Hester M. Peirce has released a new statement titled "Slumber Number: Innovation Exemption Statement," posted to the agency's Speeches and Statements page.
BusinessPolitics and GovernmentUSAFederal GovernmentFinancial MarketsLegalEconomy Securities and Exchange CommissionHester M. PeirceSlumber NumberInnovation Exemption StatementSEC Speeches and StatementsFinancial Regulation
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SEC Commissioner Uyeda Issues Statement on the Innovation Exemption
SEC Commissioner Mark T. Uyeda has released a statement on the Innovation Exemption, posted to the agency's Speeches and Statements page.
BusinessPolitics and GovernmentUSAFederal GovernmentFinancial MarketsLegalEconomy Securities and Exchange CommissionMark T. UyedaInnovation ExemptionSEC CommissionerSpeeches and StatementsFinancial Regulation
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SEC Chairman Atkins Issues Statement on the Innovation Exemption
SEC Chairman Paul S. Atkins has released a statement titled "The Innovation Exemption: A Bridge Toward Durable Rulemaking," posted to the agency's Speeches and Statements page.
BusinessPolitics and GovernmentLaw EnforcementFederal GovernmentFinancial MarketsLegalGeneral Politics Securities and Exchange CommissionPaul S. AtkinsInnovation ExemptionRulemakingSpeeches and StatementsFinancial Regulation
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CFTC Grants 10 Whistleblower Awards Totaling Over $150 Million
The Commodity Futures Trading Commission awarded 10 whistleblowers more than $150 million in final determinations issued between July and September 2026, recognizing original information that led to successful enforcement actions.
BusinessLaw EnforcementUSAFederal GovernmentLegalFinancial Markets Commodity Futures Trading Commissionwhistleblower awardsCFTC enforcementWhistleblower.govfinancial regulation
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CFTC Approves Final Rule Setting 30 Percent Presumption for Smaller Whistleblower Awards
The Commodity Futures Trading Commission approved a final rule creating a 30 percent presumption for whistleblower awards of $5 million or less, subject to Commission discretion and regulatory factors.
Politics and GovernmentBusinessUSAFederal GovernmentLegalFinancial MarketsLaw Enforcement Commodity Futures Trading Commissionwhistleblower awardsfinal ruleWhistleblower Award DeterminationCFTCfinancial regulation
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Agencies Reduce Regulatory Burden for Community Banks, Increase 18-Month Exam Cycle Eligibility
The Federal Reserve Board released a notice stating that agencies are reducing regulatory burden for community banks and increasing eligibility for the 18-month examination cycle.
BusinessPolitics and GovernmentBankingFederal GovernmentEconomyLegal Federal Reserve Boardcommunity banksregulatory burden18-month examination cyclebank regulationfinancial regulationBoard of GovernorsU.S. Federal Reserve
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SEC Commissioner Uyeda Remarks Published After Investor Advisory Committee Meeting
The Securities and Exchange Commission has posted Commissioner Mark T. Uyeda's remarks delivered at the agency's Investor Advisory Committee meeting, adding to its published speeches and statements.
Politics and GovernmentBusinessFederal GovernmentFinancial MarketsLegal Securities and Exchange CommissionMark T. UyedaInvestor Advisory CommitteeSEC speeches and statementsFinancial regulationBusiness and Finance
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Federal Reserve Terminates Enforcement Actions Against Three Banks
The Federal Reserve Board has terminated enforcement actions against United Texas Bank, Quontic Bank Acquisition Corp., and Quontic Bank Holdings Corp. This move concludes regulatory oversight for the three financial institutions.
BusinessPolitics and GovernmentBankingFederal GovernmentEconomyLegal Federal Reserve BoardUnited Texas BankQuontic Bank Acquisition Corp.Quontic Bank Holdings Corp.enforcement actionsfinancial regulationU.S. Federal Reserve
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SEC Commissioner Peirce Addresses Pay-to-Play Rule Rescission
SEC Commissioner Hester M. Peirce has released a statement, "First Amendment Sense and Sensibilities," discussing the proposed rescission of the pay-to-play rule. The statement is now available on the SEC's newsroom.
Politics and GovernmentBusinessFederal GovernmentEconomyLegal Hester M. PeirceSECPay-to-Play RuleRescissionFirst AmendmentFinancial RegulationSecurities
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SEC Commissioner Uyeda Comments on Proposed "Pay-to-Play" Rule Rescission
SEC Commissioner Mark T. Uyeda has released a statement regarding the proposed rescission of Rule 206(4)-5 under the Investment Advisers Act, known as the "pay-to-play" rule, addressing its potential implications.
Politics and GovernmentBusinessFederal GovernmentFinancial MarketsLegalEconomy Mark T. UyedaSecurities and Exchange CommissionInvestment Advisers ActRule 206(4)-5Pay-to-playProposed RescissionFinancial Regulation
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SEC Proposes Rescission of Investment Adviser "Pay-to-Play" Rule
The SEC has proposed rescinding its "pay-to-play" rule, which currently prohibits investment advisers from offering compensated services to government clients for two years after making political contributions. This move could reshape adviser-government interactions.
Politics and GovernmentBusinessFederal GovernmentEconomyFinancial MarketsLegalGeneral Politics Securities and Exchange CommissionInvestment AdvisersPay-to-Play RulePolitical ContributionsGovernment ClientsFinancial Regulation
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SEC Chairman Atkins Comments on 'Pay-to-Play' Rule Rescission Proposal
SEC Chairman Paul S. Atkins has issued a statement concerning a proposal to rescind the 'Pay-to-Play' rule. This development from the Securities and Exchange Commission highlights ongoing regulatory discussions.
BusinessPolitics and GovernmentFederal GovernmentFinancial MarketsLegalEconomy SECPaul S. AtkinsPay-to-Play RuleRescissionFinancial RegulationSecurities and Exchange CommissionGovernment
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SEC Investor Advisory Committee to Address AI in Public Markets
The SEC's Investor Advisory Committee will meet on September 10 in Washington D.C. to discuss artificial intelligence technologies in public markets and the SEC's response to these advancements.
BusinessPolitics and GovernmentScience & TechnologyFederal GovernmentFinancial MarketsArtificial IntelligenceEducation SECInvestor Advisory CommitteePublic MarketsWashington D.C.Financial RegulationMeeting
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CFTC Issues No-Action Letter to Electron Exchange for Large Trader Reporting
The CFTC's Division of Market Oversight has issued a no-action letter to Electron Exchange DCM LLC, allowing it to submit large trader reporting for direct participants as if their contracts were exclusively self-cleared.
Politics and GovernmentBusinessFederal GovernmentEconomyFinancial Markets CFTCElectron Exchange DCM LLCDivision of Market OversightNo-action letterLarge trader reportingFinancial regulationCommodity Futures
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CFTC Modifies Clearing Requirement for Canadian Dollar and Mexican Peso Interest Rate Swaps
The CFTC has updated its interest rate swap clearing rules, removing requirements for CADOR and TIIE-referenced swaps. New rules mandate clearing for Canadian dollar and Mexican peso-denominated swaps tied to overnight, nearly risk-free rates.
BusinessPolitics and GovernmentUSA CFTCInterest Rate SwapsClearing RequirementCanadian DollarMexican PesoFinancial RegulationDerivatives Clearing Organization
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Federal Agencies Clarify SAR Confidentiality for Banks on Customer Fraud Communications
Federal agencies clarified Suspicious Activity Report confidentiality for banks communicating with customers about fraud. The joint statement aims to guide financial institutions on balancing disclosure with regulatory requirements.
BusinessPolitics and GovernmentFederal GovernmentBankingLegalEconomy Suspicious Activity ReportsFinancial RegulationFraudFinCENOCCConfidentialityOffice of the Comptroller of the Currency (OCC)
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FinCEN and Federal Agencies Clarify SAR Confidentiality for Customer Communications
FinCEN and federal banking agencies clarify SAR confidentiality rules, allowing banks to discuss underlying facts of suspicious transactions and account closures with customers without revealing SAR existence, enhancing transparency in fraud investigations.
BusinessPolitics and GovernmentLaw EnforcementFederal GovernmentBankingLegalEducationSocial Issues Financial Crimes Enforcement NetworkSuspicious Activity ReportSAR ConfidentialityFraudCustomer CommunicationFinancial Regulation
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SEC Proposes Modernizing Rules for Transfer Agents
The SEC has proposed modernizing rules for registered transfer agents. These agents are vital to the national clearance and settlement system, and the updates reflect their evolving and diverse functions.
BusinessPolitics and GovernmentLegal Securities and Exchange CommissionSECTransfer AgentsFinancial RegulationNational Clearance and Settlement SystemRule ModernizationFinancial Services