Tag: financial_regulation

• CFTC Issues Interpretation on Impartial Access Requirements for Contract Markets

  5 Nov 2026 5:02 p.m.

  The Commodity Futures Trading Commission has issued an interpretation of rules requiring designated contract markets to provide competitive, open, fair and impartial access to members and trading privilege holders.

  BusinessPolitics and GovernmentFinancial MarketsFederal GovernmentLegalEconomy Commodity Futures Trading Commissiondesignated contract marketsImpartial Access RequirementsCommission Regulation 38.151(b)DCM Impartial Access Interpretive Guidancefinancial regulation

• SEC Commissioner Uyeda Issues Statement on Adoption of Amendments to Small Entity Definitions

  4 Nov 2026 11:41 a.m.

  SEC Commissioner Mark T. Uyeda has released a statement on the agency's adoption of amendments to its small entity definitions, published among the commission's speeches and statements.

  BusinessPolitics and GovernmentLaw EnforcementFinancial MarketsLegalFederal Government Securities and Exchange CommissionMark T. Uyedasmall entity definitionsSEC rule amendmentsfinancial regulationWashington DC

• OCC Issues Supervisory Framework for Bank Examiners' Review of Super Intelligence Use

  4 Nov 2026 7:01 a.m.

  The framework is a resource for examiners rather than a new set of expectations for banks, and the OCC says SI should not be treated as a separate risk category.

  BusinessScience & TechnologyPolitics and GovernmentBankingArtificial IntelligenceFederal GovernmentLegalFinancial Markets Office of the Comptroller of the Currencysuper intelligencebank supervisionmodel risk managementcommunity banksfinancial technologyJames M. GallagherOffice of the Comptroller of the Currency (OCC)agentic SIbank examinationfinancial regulationOCC Bulletin 2026-54

• SEC Chairman Paul S. Atkins to Deliver Remarks at the Economic Club of Dallas

  30 Oct 2026 5:01 p.m.

  SEC Chairman Paul S. Atkins has posted remarks delivered at the Economic Club of Dallas, the agency announced in its Speeches and Statements section.

  BusinessPolitics and GovernmentFinancial MarketsFederal GovernmentEconomy Securities and Exchange CommissionPaul S. AtkinsEconomic Club of DallasSpeeches and StatementsFinancial regulation

• SEC Commissioner Uyeda Issues Remarks to Small Business Capital Formation Advisory Committee

  28 Oct 2026 10:31 a.m.

  SEC Commissioner Mark T. Uyeda has delivered remarks to the agency's Small Business Capital Formation Advisory Committee, with the speech published in the SEC's Speeches and Statements section.

  BusinessPolitics and GovernmentFederal GovernmentFinancial MarketsEconomy Mark T. UyedaSecurities and Exchange CommissionSmall Business Capital Formation Advisory CommitteeSEC speeches and statementssmall business capital formationfinancial regulation

• CFTC to Double Commitments of Traders Report Frequency by End of 2026

  27 Oct 2026 1:52 p.m.

  CFTC Chairman Michael S. Selig announced the Commitments of Traders Report will move from weekly to semiweekly publication by the end of 2026, doubling how often traders see positioning data.

  BusinessPolitics and GovernmentFederal GovernmentFinancial MarketsEconomy CFTCCommitments of Traders ReportMichael S. SeligCommodity Futures Trading CommissionCOT Reportfinancial regulation

• SEC Chairman Atkins Speaks at Small Business Capital Formation Advisory Committee Meeting

  27 Oct 2026 12:22 p.m.

  SEC Chairman Paul S. Atkins delivered remarks at the agency's Small Business Capital Formation Advisory Committee meeting, with the speech published on the SEC's website.

  BusinessPolitics and GovernmentFederal GovernmentEconomyFinancial MarketsEmployment and Labor Securities and Exchange CommissionPaul S. AtkinsSmall Business Capital Formation Advisory CommitteeSEC speeches and statementsfinancial regulationsmall business capital formation

• CFTC Innovation Task Force Unveils Agenda for Inaugural Frontier Forum on Super Intelligence

  20 Oct 2026 2:26 p.m.

  The CFTC's Innovation Task Force has released the agenda for its first Frontier Forum on Super Intelligence, covering how SI is being implemented and its impact on U.S. markets.

  BusinessScience & TechnologyPolitics and GovernmentArtificial IntelligenceFinancial MarketsFederal GovernmentComputers and Internet CFTCInnovation Task ForceFrontier ForumSuper IntelligenceU.S. marketsfinancial regulation

• SEC and France's AMF Sign Supervisory MOU to Boost Cooperation on Investment Advisers

  20 Oct 2026 10:51 a.m.

  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

• SEC to Host Roundtable on Machine-Understandable Data in the Age of Super Intelligence

  19 Oct 2026 2:31 p.m.

  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

• CFTC Proposes Rule to Classify Event Contracts as Swaps

  9 Oct 2026 4:14 p.m.

  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

• SEC Proposes Expanding Securities Eligible for Cross Trading by Registered Funds

  9 Oct 2026 11:01 a.m.

  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

• 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

• 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

• 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

• 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'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

• 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

• Federal Reserve and Agencies Publish Resolution Plan Feedback Letters for 15 Banking Organizations

  29 Sep 2026 4:06 p.m. · Source: US Federal Reserve

  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

• Federal Reserve Releases Senior Credit Officer Opinion Survey on Dealer Financing Terms

  24 Sep 2026 2:08 p.m. · Source: US Federal Reserve

  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

• SEC Commissioner Peirce Issues "Slumber Number" Innovation Exemption Statement

  17 Sep 2026 10:02 a.m.

  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

• SEC Commissioner Uyeda Issues Statement on the Innovation Exemption

  17 Sep 2026 9:01 a.m.

  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

• SEC Chairman Atkins Issues Statement on the Innovation Exemption

  17 Sep 2026 9:01 a.m.

  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

• CFTC Grants 10 Whistleblower Awards Totaling Over $150 Million

  14 Sep 2026 10:04 a.m.

  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

• CFTC Approves Final Rule Setting 30 Percent Presumption for Smaller Whistleblower Awards

  11 Sep 2026 2:53 p.m.

  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

• Agencies Reduce Regulatory Burden for Community Banks, Increase 18-Month Exam Cycle Eligibility

  10 Sep 2026 4:08 p.m. · Source: US Federal Reserve

  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

• SEC Commissioner Uyeda Remarks Published After Investor Advisory Committee Meeting

  10 Sep 2026 3:02 p.m.

  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

• Federal Reserve Terminates Enforcement Actions Against Three Banks

  4 Sep 2026 11:03 a.m. · Source: US Federal Reserve

  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

• SEC Commissioner Peirce Addresses Pay-to-Play Rule Rescission

  3 Sep 2026 5:31 p.m.

  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

• SEC Commissioner Uyeda Comments on Proposed "Pay-to-Play" Rule Rescission

  3 Sep 2026 4:41 p.m.

  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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