Regulus — The global regulatory broadcast network

0:15

United States FINRA Markets & Infrastructure ✓ 16 claims 5 hrs ago

FINRA panel issues arbitration award in Rosen V Partners case against Lek Securities

A FINRA arbitration award has been entered in case 21-00580, Rosen V Partners LP against Charles Lek, David Weiniger and Lek Securities Corporation. The published record gives the parties, the three neutrals, the Los Angeles hearing site and the award date. It does not state the claims, the sums at issue or the outcome, so this item is a docket entry rather than a reasoned decision.

The award in FINRA case 21-00580 is dated 2 November 2026 with a Los Angeles, CA hearing site.
Rosen V Partners LP is the claimant; Charles Lek, David Weiniger and Lek Securities Corporation are the named respondents.
The panel comprised neutrals Barbara M. Zak, Marc S. Joseph and Hiro N. Aragaki.
Keri Curtis Axel represented the claimant and Matthew C. Lamb represented the respondents.
The published record does not state the claims, amounts at issue or the panel's findings.

Source document

play

FINRA Source document ↗

United States FINRA Conduct & Consumer ✓ 11 claims 5 hrs ago

FINRA panel to decide Kilpatrick claim against Wells Fargo Clearing Services

A FINRA arbitration award record names Stephen Kilpatrick as claimant against Wells Fargo Clearing Services, LLC, heard before a three-arbitrator panel in Atlanta. The record carries an official award date of November 12, 2026. The public metadata does not disclose the allegations, the amount claimed or the outcome, so the substance remains to be read from the award document itself.

The case is filed with FINRA under case ID 25-02183, with Stephen Kilpatrick as claimant against Wells Fargo Clearing Services, LLC.
The matter was heard at the Atlanta, GA hearing site before three neutrals: Monica I. Salis, Katherine Hendricks and David Paul Clark.
The record lists Jennifer Cox for the claimant and Nuviah Shirazi for the respondent.
The official award date recorded is November 12, 2026.

Source document

play

Federal Reserve Source document ↗

United States Federal Reserve Financial Crime ✓ 12 claims 7 hrs ago

Fed issues consent prohibition against former United Community Bank employee

The Federal Reserve Board announced the execution of a consent prohibition against a named former employee of United Community Bank over the misappropriation of customer funds. This is a short individual enforcement notice, and the value for a compliance reader is in what the action signals about internal controls over customer money rather than its scale.

The Federal Reserve Board announced the enforcement action on November 12, 2026, for release at 11:00 a.m. EST.
The action is a consent prohibition against Katilyn M. Robinson, a former employee of United Community Bank, Greenville, South Carolina.
The release states the conduct at issue as misappropriation of customer funds.
A supporting document is provided as an attached PDF and additional enforcement actions can be searched via the Board's database.

Source document

play

Federal Register — Treasury Source document ↗

United States Federal Register — Treasury Governance & Accountability ✓ 15 claims 7 hrs ago

IRS names five to Legal Division Performance Review Board

The Internal Revenue Service has published the membership of its Legal Division Performance Review Board panel in the Federal Register. The notice names five senior Office of Chief Counsel officials and one alternate, appointed by the Acting Chief Counsel under authority delegated by the Treasury General Counsel. It is a short statutory publication rather than a policy document.

Acting Chief Counsel Kevin M. Salinger appointed five members to the IRS Legal Division Performance Review Board panel.
The named members are Audrey M. Morris, Emily M. Lesniak, Richard T. Lunger, Gary E. Sharp and Jeffrey Van Hove, with Paul Butler as alternate.
The appointments were made under General Counsel Directive 15, pursuant to the Civil Service Reform Act.
The publication is required by 5 U.S.C. 4314(c)(4).

Source document

play

Federal Register — Treasury Source document ↗

United States Federal Register — Treasury Governance & Accountability ✓ 13 claims 7 hrs ago

IRS names three members to Legal Division Performance Review Board

The IRS has published the membership of its Legal Division Performance Review Board, a notice required by statute. The appointments name a chair drawn from the Treasury General Counsel's office, two further members and one alternate. The notice is short and administrative, but it names the individuals who will sit on the panel.

Kevin M. Salinger, Chief Counsel (Acting), appointed the panel members under General Counsel Directive 15, pursuant to the Civil Service Reform Act.
Michael B. Briskin, Deputy Assistant General Counsel at Treasury, is named chair, with Rebecca O. Burch and Mabeline T. Baldwin as members.
Amalia C. Colbert, Division Commissioner of the Small Business/Self-Employed Division, is named as alternate.
The notice states that its publication is required by 5 U.S.C. 4314(c)(4).

Source document

play

FINRA Source document ↗

United States FINRA Conduct & Consumer ✓ 13 claims 9 hrs ago

FINRA panel issues arbitration award in Avner Dei claim against Independent Financial Group

FINRA has published award metadata for arbitration case 26-00376, brought by claimant Avner Dei against broker-dealer Independent Financial Group, LLC. A three-member panel heard the matter in New York and issued an award dated 30 October 2026. The published record identifies the parties, panel and hearing site but not the disposition or any monetary relief.

FINRA case 26-00376 names Avner Dei as claimant and Independent Financial Group, LLC. as respondent.
The matter was heard in New York before arbitrators Sandra J. Mullings, Daniel Louis Cevallos and Diane S Steiner.
The official award date is 30 October 2026, and the full award is published as document 26-00376.pdf.
The claimant represented himself; the respondent was represented by Gara M. Seagraves.

Source document

play

FINRA Source document ↗

United States FINRA Conduct & Consumer ✓ 12 claims 9 hrs ago

FINRA arbitrator issues award in Steward Partners case against Graham Heck

FINRA has published an arbitration award in case 23-02707, brought by Steward Partners Investment Solutions against Graham Heck. The record is limited to the case metadata: the parties, their representatives, the sole arbitrator, the Houston hearing site and the award date. This item sets out what the published record confirms and what it leaves open.

FINRA case 23-02707 was brought by claimant Steward Partners Investment Solutions against respondent Graham Heck.
The matter was decided by a single neutral, Maryanne M. Esser, at the Houston, TX hearing site.
The award carries an official date of 30 October 2026.
Claimant representative was Michael T. Roche; respondent representative was Robert E. Linkin.

Source document

play

FINRA Source document ↗

United States FINRA Conduct & Consumer ✓ 10 claims 9 hrs ago

FINRA posts arbitration award in Blazina case against Northwestern Mutual unit

FINRA has published an arbitration award in case 26-01124, dated 28 September 2026. The record names the parties, their representatives, the sole arbitrator and the Tampa hearing site, but the published metadata does not state the nature of the claims or the outcome. This is a short notice of what the public record contains.

FINRA case 26-01124 produced an award dated 28 September 2026, heard in Tampa, Florida.
Claimants Anna Blazina and Joseph Blazina named Brian Damasiewicz and Northwestern Mutual Investment Services, LLC as respondents.
The matter was decided by a single neutral, Kathy A. Tatone.
The published metadata does not state the nature of the claims, the relief sought or the outcome.

Source document

0:15

American Bankers Association — newsroom Source document ↗

United States American Bankers Association — newsroom Conduct & Consumer ✓ 15 claims 11 hrs ago

ABA survey finds consumers wary of credit card interest rate caps

The American Bankers Association released survey findings framing consumer sentiment against proposals to cap credit card interest rates. For anyone tracking the rate cap debate, this is an industry-commissioned read on where public opinion sits, and it sets out the arguments banks will deploy if cap legislation advances. Short, but worth the few minutes if card policy is on your radar.

The ABA survey reports 77% of consumers satisfied with their current credit cards and 70% calling card access important for managing household finances.
By 55% to 30%, consumers said they oppose a 10% interest rate cap if it results in higher annual fees for most cardholders.
By 62% to 23%, respondents expressed concern about negative credit-score effects from account closures or credit line reductions caused by a rate cap.
Consumers ranked credit card interest rates near the bottom of economic issues they want Congress to prioritise, below inflation, grocery prices, healthcare, housing and energy costs.
75% said it is important for Congress to prevent higher annual fees resulting from new regulations.

Source document

play

FINRA Source document ↗

United States FINRA Governance & Accountability ✓ 8 claims 13 Nov 2026

FINRA files governance overhaul to amend By-Laws and Board of Governors structure

FINRA has filed a proposed rule change with the SEC to rework its own governance architecture, touching the By-Laws of the Corporation, the FINRA Regulation By-Laws, the Plan of Allocation and Delegation of Functions, and the Restated Certificate of Incorporation. The filing centres on how the Board of Governors is composed and operates, and on the committees the Board establishes that are made up solely of Governors.

The filing amends the FINRA By-Laws, the FINRA Regulation By-Laws and the Plan of Allocation and Delegation of Functions by FINRA to Subsidiaries.
The changes revise FINRA's governance structure, including the composition and operation of the Board of Governors.
The filing addresses committees established by the Board that comprise solely Governors.
FINRA's Restated Certificate of Incorporation is amended to conform relevant provisions to the amended and restated By-Laws.
The full text of the proposed rule change is published as a 2.38 MB PDF.

Source document

play

Federal Register — Treasury Source document ↗

United States Federal Register — Treasury Governance & Accountability ✓ 23 claims 13 Nov 2026

Treasury CDFI Fund seeks comment on renewing performance and audit report forms

The Community Development Financial Institutions Fund has opened a comment period on renewing two annual reporting forms that CDFI award recipients file through its AMIS system. The notice extends an existing collection without substantive change and estimates the burden on 1,114 respondents. It is short, procedural, and relevant mainly to organisations drawing CDFI Fund awards.

The CDFI Fund is seeking comment on extending the Performance Progress Report and Financial Statement Audit Report Form without content changes, under OMB number 1559-0050.
Recipients file the Performance Progress Report three months after their period of performance or fiscal year end, and the Financial Statement Audit Report six months after, both via AMIS.
The notice estimates 1,114 respondents, 2,228 annual responses, and 1,671 total annual burden hours.
Written comments must be received by December 29, 2026 via Docket No. CDFI-2026-0202 at regulations.gov.

Source document

play

DOJ Criminal Division Source document ↗

United States DOJ Criminal Division Financial Crime ✓ 15 claims 13 Nov 2026

Florida missionary indicted over child sex abuse spanning three decades in Haiti

The Justice Department has indicted a Florida man who ran faith-based ministries in Haiti for sexually abusing minors there over roughly thirty years. The case turns on the extraterritorial reach of US law over Americans who exploit children abroad, and the FBI has issued a public appeal for further victims, signalling an open and expanding investigation.

Osbeck, 70, is charged with engaging in and attempting to engage in illicit sexual conduct with minors in Haiti over roughly three decades.
Charges rest on abuse of a Haitian boy aged about 8 to 12 between approximately 2004 and 2008, and an attempted commercial sex act with another boy around 2019-2020.
Haitian authorities took Osbeck into custody at the end of September 2026; he was returned to the US on 14 October and arrested at Miami International Airport, and has remained in custody since.
Investigators believe Osbeck victimised additional children and have asked potential victims to contact OsBeckInfo@fbi.gov.

Source document

play

DOJ Criminal Division Source document ↗

United States DOJ Criminal Division Governance & Accountability ✓ 15 claims 13 Nov 2026

DOJ to deploy about 1,000 election monitors across all 50 states for first time

The Department of Justice announced its largest election monitoring deployment, with roughly 1,000 monitors and observers sent to all 50 states for the first time. The effort, coordinated by the Civil Rights Division, checks compliance with federal voting rights, disability access and anti-intimidation statutes. For anyone tracking how federal election oversight is scaled and scoped, this sets a new baseline.

The DOJ said it would deploy approximately 1,000 election monitors and observers, reaching all 50 states for the first time.
The effort is coordinated by the Civil Rights Division, with personnel from other DOJ components, U.S. Attorney's Offices and OPM federal observers.
Monitors check compliance with federal voting rights statutes, including the Voting Rights Act, NVRA, HAVA, UOCAVA and the Civil Rights Acts, plus the ADA for voters with disabilities.
The DOJ has sent election monitors since the Voting Rights Act was enacted in 1965, across all Administrations.
The press release lists the specific counties and cities the Division intended to monitor or observe in each state.

Source document

0:15

American Bankers Association — newsroom Source document ↗

United States American Bankers Association — newsroom Prudential & Capital ✓ 13 claims 13 Nov 2026

Fed loan officer survey finds weaker demand for all commercial real estate loans in Q3

The Federal Reserve's latest senior loan officer opinion survey reports tighter standards and weaker demand across all commercial real estate loan categories in the third quarter, alongside tightening on loans to non-depository financial institutions and mixed signals in household credit. For anyone tracking credit conditions and lending risk appetite, it is the clearest read of what banks themselves say they are doing.

Banks reported tighter standards and weaker demand for all commercial real estate loan categories in the third quarter.
Standards for C&I loans to large and middle-market firms were basically unchanged, while standards tightened for C&I loans to small firms.
Banks eased standards on QM jumbo and non-QM jumbo mortgages but tightened on subprime mortgages, with demand weaker across all residential real estate categories.
Banks tightened standards across all queried types of loans to non-depository financial institutions, including private equity funds and mortgage, business and consumer credit intermediaries.
Credit card approvals rose for super-prime and prime borrowers and fell for subprime, with small banks driving the subprime trend.

Source document

play

American Bankers Association — newsroom Source document ↗

United States American Bankers Association — newsroom Conduct & Consumer ✓ 11 claims 13 Nov 2026

ABA asks CFPB to cut reporting burden on credit card terms survey

The American Bankers Association has written to the CFPB urging further changes to two credit card data collections, the Report of Terms of Credit Card Plans and the survey of consumer and college credit card agreements. The ask is practical: clearer per-field instructions, an editing tool, and the ability to correct submissions. A short item, but a useful read on how burden-reduction requests are framed.

The ABA asked the CFPB to add guidance on how to complete each data point in the Report of Terms of Credit Card Plans survey.
It recommended a tracker letting respondents edit data from the pre-submission overview page and correct or delete a prior submission after an error is found.
The ABA said the CFPB has already eliminated data elements that required issuers to report beyond what the Truth in Lending Act mandates.
On the consumer and college credit card agreements survey, the ABA said each submission still requires approximately 85 person-hours.

Source document

play

Federal Register — SEC Source document ↗

United States Federal Register — SEC Markets & Infrastructure ✓ 19 claims 13 Nov 2026

NSCC to shift annuity transfer processing out of ACATS into I&RS system

The National Securities Clearing Corporation has filed a rule change moving responsibility for insurance product re-registration and confirmation out of its ACATS account-transfer service and into its Insurance & Retirement Solutions system. Firms would still initiate transfers through ACATS, but the re-registration leg would run through I&RS. The filing is effective on filing and implements on November 20, 2026.

NSCC proposes to transfer responsibility for insurance product re-registration and confirmation from ACATS to its I&RS services system, with Section 8 of NSCC Rule 50 amended to remove references to I&RS Products.
ACATS would continue to let Members initiate transfers and add insurance assets, validating CUSIP and Receiving Member eligibility, before passing assets to I&RS for completion.
NSCC would decommission the Insurance Registration (IR) Record, the insurance statistics file, and certain Receiver and Deliver insurance instructions.
NSCC says fewer than ten Members currently use the ACATS/IPS service, which has seen only modest adoption since its 2005 introduction.
The filing is effective on filing under Rule 19b-4(f)(4); NSCC would implement on November 20, 2026, and comments are due by November 23, 2026.

Source document

play

Federal Register — SEC Source document ↗

United States Federal Register — SEC Markets & Infrastructure ✓ 17 claims 13 Nov 2026

SEC seeks comment on Rule 18a-5 recordkeeping burden for security-based swap dealers

The SEC has opened a 60-day comment window on extending the information collection under Rule 18a-5, the recordkeeping and reporting regime for security-based swap dealers and major participants. The notice restates what records the rule demands, counts the firms subject to it, and puts fresh numbers on the hour and dollar burden. It is procedural, but it fixes the figures the Commission will carry to OMB.

Rule 18a-5 sets recordkeeping and reporting requirements for stand-alone and bank SBSDs and MSBSPs, and the SEC is renewing the collection under the Paperwork Reduction Act.
As of 24 September 2026 there are 15 stand-alone SBSDs and 29 bank SBSDs registered, and zero stand-alone or bank MSBSPs.
The SEC estimates a 12,340-hour initial industry burden, 15,425 ongoing hours per year, and 58,615 hours over three years.
Stand-alone firms face an estimated $1,000 initial and $4,650 ongoing dollar cost each, giving industry-wide ongoing costs of $69,750 per year.
Written comments must reach the SEC by 4 January 2027, addressed to Austin Gerig via PaperworkReductionAct@sec.gov.

Source document

play

Nasdaq Source document ↗

United States Nasdaq Markets & Infrastructure ✓ 11 claims 13 Nov 2026

PSX to scrap add-displayed-liquidity rebate from November 2

Nasdaq has told PSX participants it will discontinue the rebate paid to add displayed liquidity, effective Monday, November 2, 2026, subject to a pending SEC filing. The change removes a per-share credit that ranged across volume tiers tied to consolidated volume. This matters to any firm whose PSX order-routing economics depend on displayed-liquidity rebates.

Nasdaq PSX will discontinue its Rebate to Add Displayed Liquidity effective Monday, November 2, 2026, pending a filing with the SEC.
The discontinued credits ran at $0.0033, $0.0032 and $0.0030 per share executed across TCV tiers of 0.15%, 0.07% and 0.05% respectively, under liquidity codes A, V or u.
An additional $0.00005 per share rebate tied to adding 0.10% or more of TCV in both the prior and current month is also being discontinued.
The change was announced in Equity Trader Alert #2026-63, dated October 30, 2026.

Source document

play

FINRA Source document ↗

United States FINRA Conduct & Consumer ✓ 14 claims 13 Nov 2026

FINRA issues arbitration award in McLean dispute with Robinhood Securities

FINRA's dispute resolution forum has published an arbitration award in a customer case brought by Gary McLean against Robinhood Securities, LLC. The published record identifies the parties, the sole arbitrator and the hearing site but does not, in the fields available, set out the allegations, the amount claimed or the disposition. The underlying award document carries the detail.

The arbitration, Case ID 26-01524, was heard in the FINRA forum before a single arbitrator, Clarence H. Hampton.
Claimant Gary McLean brought the matter against Robinhood Securities, LLC, and represented himself.
Robinhood Securities, LLC was represented by Michael Fakhoury.
The award carries an official date of October 29, 2026, and the hearing site was Birmingham, Alabama.

Source document

play

Federal Register — Treasury Source document ↗

United States Federal Register — Treasury Governance & Accountability ✓ 20 claims 13 Nov 2026

IRS publishes quarterly expatriation list for quarter ending September 2026

The IRS has published its statutory quarterly list of individuals who renounced US citizenship or ceased to be long-term residents during the quarter ending September 30, 2026. The notice is a recurring Treasury filing under IRC section 6039G and names each person the Secretary received information about during the period. It carries no new rule but remains a fixed data point for tax and compliance teams tracking expatriation.

The notice lists individuals who lost US citizenship under section 877(a) or 877A during the quarter ending September 30, 2026, published under IRC section 6039G.
Long-term residents as defined in section 877(e)(2) are treated, for the listing, as citizens who lost citizenship.
The publication identifies individuals only by last, first and middle name or initials, with no tax or financial detail.
The notice was dated October 27, 2026, signed by Kevin T. Hall of the IRS, and published as FR Doc 2026-22229.

Source document

play

Federal Register — CFPB Source document ↗

United States Federal Register — CFPB Conduct & Consumer ✓ 20 claims 13 Nov 2026

CFPB seeks renewal of Regulation E disclosure burden covering 600,000 firms

The CFPB has opened comment on renewing its OMB clearance for the Electronic Fund Transfer Act information collection under Regulation E. The notice quantifies what the regime's disclosure, error-resolution and remittance obligations cost the regulated population, and invites challenges to that estimate. For anyone offering EFT, prepaid or remittance services, it is the window to contest the Bureau's burden assumptions.

The CFPB requests OMB extension of the Regulation E information collection under OMB Control Number 3170-0014, an extension of a currently approved collection rather than a substantive rule change.
The Bureau estimates 600,000 respondents and 3,361,056 total annual burden hours for the collection.
The collection covers EFTA disclosure, error-resolution and liability-limitation duties across ATM, point-of-sale, payroll card, prepaid card, gift card and remittance transfer services.
Written comments must be received on or before 29 December 2026 under docket CFPB-2026-0025; comments after the period will not be accepted.

Source document

play

Federal Register — CFPB Source document ↗

United States Federal Register — CFPB Conduct & Consumer ✓ 19 claims 13 Nov 2026

CFPB seeks comment on renewing RESPA Regulation X information collection

The CFPB is renewing OMB clearance for the information collection that sits under the Real Estate Settlement Procedures Act, Regulation X. This is a Paperwork Reduction Act notice, not a rule change, but it fixes the burden estimates and opens a short comment window for mortgage servicers and settlement service providers to contest them.

The CFPB is requesting renewal of OMB approval for the Regulation X information collection under OMB Control Number 3170-0016, described as an extension of a currently approved collection.
The Bureau estimates 9,377 respondents and 1,811,553 total annual burden hours for the disclosure and recordkeeping requirements.
Written comments must be received on or before December 29, 2026, submitted under Docket No. CFPB-2026-0026.
Comments are invited on necessity and practical utility, the accuracy of burden estimates, data quality, and ways to minimise burden including through automation.

Source document

play

Federal Register — Federal Reserve Source document ↗

United States Federal Register — Federal Reserve Prudential & Capital ✓ 12 claims 13 Nov 2026

Fed invites comment on three family control-group notices for community banks

The Federal Reserve has published change-in-bank-control notices for three family-linked groups seeking to acquire or retain voting shares in small bank holding companies in Minnesota, North Dakota and Utah. The notice sets out where filings can be inspected and the single window for public comment under the statutory standards. It is a procedural step, but it names the parties and the deadline.

Three change-in-bank-control notices were filed under 12 U.S.C. 1817(j) and 12 CFR 225.41, handled by the Minneapolis and San Francisco Reserve Banks.
The Regan Family Control Group seeks to acquire voting shares of PB Bancshares Inc., indirectly retaining shares of Premier Bank, both of Maplewood, Minnesota.
The Watson and Browning groups seek to retain shares of Security State Bank Holding Company (Bank Forward) in Fargo and First Utah Bancorporation (First Utah Bank) in Salt Lake City respectively.
Written comments on the statutory standards must reach the relevant Reserve Bank or the Board by November 16, 2026, and will be disclosed publicly without modification.

Source document

play

Federal Register — Treasury Source document ↗

United States Federal Register — Treasury Governance & Accountability ✓ 20 claims 13 Nov 2026

CDFI Fund revises New Markets Tax Credit certification form, drops minority-ownership language

The CDFI Fund is seeking comment on a revised Community Development Entity certification application for the New Markets Tax Credit Program. The changes remove references to minority ownership and add new disclosures on affiliates, foreign interests and government investigations. The notice sets a 150-respondent burden estimate and a December 29 comment deadline for entities seeking or holding CDE certification.

The CDFI Fund proposes removing all references to 'Minority-Owned or Controlled' from the CDE Certification Application's structure questions.
A new Affiliate Information subsection would collect data on ownership, control and foreign interests for affiliates, alongside a new Government Investigations and Enforcement subsection.
The notice estimates 150 respondents, annual frequency, four hours per respondent and 600 total annual burden hours.
Written comments must be received on or before December 29, 2026 via regulations.gov under Docket No. CDFI-2026-0201.

Source document

play

Federal Register — Treasury Source document ↗

United States Federal Register — Treasury Governance & Accountability ✓ 22 claims 13 Nov 2026

Treasury CDFI Fund seeks comment on renewed grant application forms

The CDFI Fund has published a Paperwork Reduction Act notice inviting comment on the application forms used for its two core award programmes. The notice is procedural, but it discloses that changes were made to align the forms with the Administration's executive orders on waste, fraud and abuse, while simultaneously describing the action as a renewal with no material changes.

Comments must be received on or before December 29, 2026, and must be submitted through Regulations.gov under Docket Number CDFI-2026-0232.
The notice covers Financial Assistance and Technical Assistance applications for the CDFI Program and NACA Program, under OMB Control Number 1559-0021.
The Fund says changes were made to align the applications with the Administration's executive orders and efforts to reduce waste, fraud and abuse, while describing the action as a renewal with no material or substantive changes.
The Fund estimates 795 respondents annually, with 495 FA responses and 300 TA responses, at 140 and 90 hours per respondent respectively.

Source document

play

Federal Register — State Department Source document ↗

United States Federal Register — State Department Financial Crime ✓ 17 claims 13 Nov 2026

Rubio authorizes up to $125 million in US energy security aid under Foreign Assistance Act

Secretary of State Marco Rubio has signed a determination releasing up to $125,000,000 in assistance to support partners confronting coercive energy supply cutoffs, market disruptions and inflated costs. The authority is drawn under section 451 of the Foreign Assistance Act. This segment covers what the determination authorizes, the legal basis invoked, and the limited reporting it triggers to Congress.

Secretary of State Marco Rubio authorized the use of up to $125,000,000 of Foreign Assistance Act funds for energy security assistance.
The determination is made pursuant to section 451 of the Foreign Assistance Act of 1961 (22 U.S.C. 2261) and section 1-100(a)(l) of Executive Order 12163.
The funds support partners facing coercive supply cutoffs, market disruptions and inflated costs, and apply notwithstanding any other provision of law.
The determination and an accompanying Memorandum of Justification are to be promptly reported to Congress.
The determination was dated September 25, 2026 and published in the Federal Register on October 30, 2026 (Public Notice 13145).

Source document

play

Federal Register — Treasury Source document ↗

United States Federal Register — Treasury Governance & Accountability ✓ 16 claims 13 Nov 2026

US Mint sets November 17 public meeting of coinage advisory committee

The United States Mint has scheduled a public meeting of the Citizens Coinage Advisory Committee in Philadelphia. The agenda covers the committee's annual report and coin design review. For most financial compliance readers this carries no obligation, but it documents the statutory advisory process behind US circulating and commemorative coinage.

The CCAC public meeting runs 9:00 a.m. to 3:30 p.m. ET on November 17, 2026, at the United States Mint in Philadelphia.
The agenda covers approval of the FY2026 CCAC annual report and review of design portfolios for the 2028 American Youth Sports quarters and Paralympic half dollar.
The public cannot attend in person but may watch via the Mint's YouTube live stream and submit comments to info@ccac.gov.
Accommodation requests must reach the Office of Equal Employment Opportunity by November 10, 2026.

Source document

play

FINRA Source document ↗

United States FINRA Conduct & Consumer ✓ 10 claims 13 Nov 2026

FINRA panel issues award in Berghoff dispute against Signature Estate advisers

A FINRA arbitration award has been entered in case 26-00578, a customer dispute brought by Warren Berghoff and his living trust against Signature Estate & Investment Advisors, Signature Estate Securities and two named individuals. The published record confirms the parties, the three-arbitrator panel and the award date, but the underlying claims and outcome are not set out in the material available here.

FINRA case 26-00578 was heard in Los Angeles with an official award date of 29 October 2026.
Claimants were Warren Berghoff and the Warren R. Berghoff Living Trust U/A DTD 06/09/2012.
Respondents were Christopher Gardner, Gary Liska, Signature Estate & Investment Advisors, LLC and Signature Estate Securities, LLC.
The panel comprised arbitrators Joseph C. Watson, Alina Landver and Lawrence Wayne Sarokin.

Source document

play

FINRA Source document ↗

United States FINRA Conduct & Consumer ✓ 10 claims 13 Nov 2026

FINRA arbitration record names Wells Fargo Clearing and broker in Wahl family claim

FINRA has posted the award record for arbitration case 24-00270, a customer dispute heard in Boca Raton, Florida. The filing identifies the claimants, the respondents, the panel and the representatives. The extract available does not state the allegations, the relief sought or the panel's decision, so this is a record of the proceeding rather than its substance.

The case, FINRA 24-00270, pits members of the Wahl family against James Paige and Wells Fargo Clearing Services, LLC.
The arbitration was heard in Boca Raton, Florida, before a three-member panel of Smukler, Lamar and McClosky.
The claimant group includes two IRA custodial accounts and two Wahl family revocable trusts alongside the individual claimants.
The official award date is recorded as 30 October 2026, with Wayne H. Schwartz for claimants and Eric D. Martin for respondents.

Source document

play

FINRA Source document ↗

United States FINRA Conduct & Consumer ✓ 11 claims 13 Nov 2026

FINRA panel issues award in Jefferies arbitration against Cantor Fitzgerald and Dustin Tyner

A short record of a FINRA arbitration award in a dispute between two broker-dealers. The published document identifies the parties, the arbitrators and the hearing site but does not set out the claims, the reasoning or the outcome. This item tells you who is involved and what the record actually confirms, and no more.

Jefferies LLC brought the arbitration against Cantor Fitzgerald & Co. and individual respondent Dustin Tyner in FINRA's dispute resolution forum.
The case, ID 24-01059, was heard in Boston before a three-member panel: Gene M. Bauer, Daniel Robert Tereau and Christine Neylon O'Brien.
The published record carries an official award date of 2 November 2026 and does not disclose the claims, the relief or the outcome.

Source document

play

FINRA Source document ↗

United States FINRA Markets & Infrastructure ✓ 17 claims 13 Nov 2026

FINRA details new rule changes easing capital-raising for member firms

A FINRA podcast with two Corporate Financing executives walks through recent and pending changes to the rules governing underwriting compensation, private placements, IPO allocation and marketing communications. It matters because several changes are already approved and others, including performance projections in written materials, are awaiting an effective date.

FINRA has amended Rule 5110 to simplify valuation of underwriting compensation and add new exclusions.
Amendments to Rule 5123 expand filing exemptions for sales to accredited investors, aligned with the SEC's current accredited investor definition.
The SEC has approved a change to Rule 2210 allowing performance projections and targeted returns in written communications, subject to specified conditions, but FINRA has not yet issued the regulatory notice setting the effective date.
FINRA has adopted amendments to the Capital Acquisition Broker rules under Reg. Notice 26-04 and issued Reg. Notice 26-14 requesting comment on further Rule 2210 changes.
FINRA receives approximately 2,900 private placement filings annually and has begun disseminating related data to member firms, the public and other regulators.

Source document

play

Federal Register — SEC Source document ↗

United States Federal Register — SEC Markets & Infrastructure ✓ 21 claims 13 Nov 2026

NYSE American switches binary options to closing-price settlement, tightens listing bar

NYSE American has filed an immediately effective rule change overhauling how Binary Return Derivatives settle. The exchange swaps its full-day composite VWAP for the primary listing market's closing auction price, drops a penny-rounding convention, raises the minimum market capitalisation to $290 billion and adds a closing-auction liquidity test. The filing runs for comment while already operative, so firms trading ByRDs face new mechanics now.

Expiring ByRDs will settle on the primary listing market's closing auction price at 4:00 p.m., replacing the full-day composite-price VWAP methodology in place since the product's design.
The exchange eliminates the $0.01 settlement-price rounding convention, redefining Finish High ByRDs to return $100 when the underlying closes at or above the strike price.
Minimum market capitalisation for an underlying stock rises from $40 billion to $290 billion, and a new rule requires at least $10 million average daily closing-auction trading value over the prior six months, cutting eligible underliers from 305 to about 100.
Market makers automatically appointed to a ByRDs class are no longer subject to continuous-quoting obligations unless they choose to enter a quote.
Price Reasonability Checks will not apply to ByRDs; instead the exchange rejects all limit orders and quotes above the designated maximum price of $1.02 per class.

Source document

play

DOJ Criminal Division Source document ↗

United States DOJ Criminal Division Financial Crime ✓ 18 claims 13 Nov 2026

California man pleads guilty to attempting to fund and arm ISIS

A US citizen in California has admitted trying to provide money, weapons and equipment to ISIS over a five-month period in 2025, dealing throughout with undercover officers. The case is a conventional material-support prosecution, but the funding mechanics, repeated small payments routed to someone posing as an ISIS member, are the detail worth the few minutes for anyone mapping terrorist-financing typologies.

Akhtar pleaded guilty to attempting to provide material support to ISIS, a designated foreign terrorist organization, on October 30, 2026.
Between February and June 2025 he made financial payments on multiple occasions to a person he believed was an ISIS member but who was an undercover officer.
On June 23, 2025 he handed an undercover agent clothing, binoculars, $400 cash, two loaded guns and six magazines, then swore bayat to ISIS.
He faces a maximum of 20 years in prison and a $250,000 fine at sentencing on February 26, 2027.

Source document

play

CISA Advisories Source document ↗

United States CISA Advisories AI, Technology & Data ✓ 16 claims 13 Nov 2026

CISA adds two actively exploited Ivanti Connect Secure flaws to KEV catalog

CISA has listed two Ivanti Connect Secure vulnerabilities in its Known Exploited Vulnerabilities Catalog on evidence of active exploitation. For federal civilian agencies the listing triggers mandatory remediation obligations under Binding Operational Directive 26-04; for everyone else it is a prioritisation signal. A short item, but Ivanti VPN appliances remain a common perimeter exposure for regulated firms.

CISA added CVE-2026-111357, a missing-authentication-for-critical-function flaw in Ivanti Connect Secure, to the KEV Catalog.
CISA also added CVE-2026-118527, a predictable-numbers-or-identifiers vulnerability in Ivanti Connect Secure, on evidence of active exploitation.
BOD 26-04 requires FCEB agencies to prioritise rapid remediation of high-risk KEV vulnerabilities on publicly exposed assets that grant total control post-exploitation.
BOD 26-04 also sets expectations for when agencies must check whether a system was compromised before the patch was applied.
CISA encourages all organisations, not only federal agencies, to adopt risk-based vulnerability management and remediate KEV entries.

Source document

play

DOJ Criminal Division Source document ↗

United States DOJ Criminal Division Financial Crime ✓ 21 claims 13 Nov 2026

Florida pharmacist sentenced to 90 months over illegal oxycodone dispensing

The Justice Department's newly created Fraud Division secured a 90-month sentence against a Tampa pharmacy owner convicted of running her retail pharmacies as cash-only oxycodone outlets. The case shows how diversion prosecutions are being folded into the broader health care fraud enforcement architecture, and what evidentiary pattern the government now treats as proof of knowing diversion rather than clinical judgement.

Olushola Yusuf was sentenced to 90 months in prison after a jury convicted her of conspiracy and five counts of illegal drug distribution.
The government proved she dispensed at least 335,351 oxycodone 30mg pills to customers with no medical need, charging roughly ten times the usual price in cash.
She operated two pharmacies, Boots LLC doing business as Striderite in Margate and Chans Pharmacy Plus in Pembroke Pines, keeping doors locked and admitting only identified customers.
Yusuf continued dispensing after repeated warnings from her own employees and the DEA, according to trial evidence.
Co-defendant Saman Gimenez pleaded guilty to conspiracy to illegally distribute drugs and is scheduled to be sentenced later this year.

Source document

play

DOJ Criminal Division Source document ↗

United States DOJ Criminal Division Financial Crime ✓ 21 claims 13 Nov 2026

Two Chinese nationals sentenced to 30 months for acting as PRC intelligence agents

The DOJ has sentenced two PRC nationals who pleaded guilty to conspiring to act, and acting, as agents of a foreign government without prior notification to the Attorney General. The case details MSS tasking on US soil: covert cash payments, surveillance of a Navy base and recruiting station, and attempts to recruit service members. A compact account of how a foreign intelligence service runs assets inside the United States.

Lai and Chen were each sentenced to 30 months in prison and three years of supervised release on 30 October 2026.
The pair admitted operating under the direction of the PRC's Ministry of State Security from no later than May 2021.
They facilitated clandestine cash payments of approximately $10,000 in January 2022 and approximately $20,000 arranged in 2025.
Chen gathered photographs of Navy Base Kitsap and of recruits and sailors at a Navy recruiting station, and collected biographical data on potential targets.
Both were arrested on 27 June 2025 and later pleaded guilty: Lai on 12 December 2025 and Chen on 20 February.

Source document

play

DOJ Criminal Division Source document ↗

United States DOJ Criminal Division Governance & Accountability ✓ 14 claims 13 Nov 2026

Ex-Army Special Operations contractor charged with leaking classified images online

A DOJ indictment alleges a cleared contractor at Fort Bragg photographed classified military operations and posted them to social media, kept national defense information at his residence and took a night vision goggle system reported missing. The case is a textbook insider threat, relevant to anyone managing cleared personnel, SCI access or sensitive data controls.

Ashbacher held a Top Secret clearance with SCI access to perform his contractor role at the Fort Bragg facility from about 2021.
The indictment alleges he photographed and transmitted classified images of military operations to a social media site, which were then reposted elsewhere.
A search of his residence revealed a classified award write-up containing national defense information and a night vision goggle system reported missing from an Army Special Operations unit.
The FBI Charlotte Field Office is investigating with assistance from the Army Criminal Investigative Division; the National Security Division is prosecuting.

Source document

play

Nasdaq Source document ↗

United States Nasdaq Markets & Infrastructure ✓ 15 claims 13 Nov 2026

Nasdaq to launch three Asia Innovation 100 indexes on GIDS from October 30

Nasdaq will begin disseminating three new indexes tracking large innovative Asian companies on its Global Index Data Service from October 30, 2026. This update confirms final index names after a change from the originally announced 'Innovators' branding. The notice is operational, aimed at data recipients and index product teams rather than carrying any regulatory obligation.

Three indexes, NQINNA, NQINNAT and NQINNAN, begin dissemination on GIDS from Friday, October 30, 2026.
The names were changed from 'Asia Innovators 100' to 'Asia Innovation 100'; the tickers are unchanged.
The methodology assigns each company an R&D Conversion Score based on Patent Value Estimates, R&D Expenses and Revenue Growth.
Real-time values are published in USD at one-second frequency, with Equities Summary (Message Type F) and Index Directory (Message Type R) messages supported on GIDS.

Source document

play

Washington State DFI Source document ↗

United States Washington State DFI Conduct & Consumer ✓ 19 claims 13 Nov 2026

Washington DFI warns co-signers stay liable until a lender formally releases them

The Washington State Department of Financial Institutions published a consumer-education piece explaining the legal difference between co-signing a loan, holding a joint account and being an authorized user. It stresses that the written agreement, not the personal relationship, determines liability, and lists the questions a prospective co-signer should put to the lender before signing.

DFI states a co-signer can be required by the lender to repay the full balance, late fees and collection costs if the borrower falls behind, often without owning the financed car.
A co-signer generally remains liable until the loan is paid off or the lender formally releases them, and a private agreement to take over payments does not release the other person.
The post distinguishes joint accounts, where both parties can owe the entire debt, from authorized-user status, which generally carries no legal responsibility for the bill.
It advises consumers to ask the lender, in writing, about liability, credit-report reporting, account access and any release process before signing.
The piece references a CFPB guide, 'Should I agree to co-sign someone else's car loan?'.

Source document

play

Nasdaq Source document ↗

United States Nasdaq Markets & Infrastructure ✓ 16 claims 13 Nov 2026

Nasdaq sets 8:45pm data refresh for 23/5 trading from December 6

Nasdaq has issued operational guidance on how its NasdaqTrader.com data files will behave once expanded 23/5 trading begins on 6 December 2026. The alert tells participants which file schedules change, which stay the same, and where a required file does not yet exist, matters that affect downstream reconciliation and surveillance systems built around the current trading day.

Nasdaq's expanded 23/5 system hours take effect 6 December 2026, running 9:00 p.m. ET Sunday to 8:00 p.m. ET Friday with a daily one-hour pause from 8:00 to 9:00 p.m. ET Monday through Thursday.
The Reg SHO threshold downloadable file and symbol directory files (including nasdaqtraded.txt, nasdaqlisted.txt and otherlisted.txt) will refresh from about 8:45 p.m. ET Sunday through Thursday, before the next Global Trading Session.
New symbol additions, including IPOs, will not be reflected until after 8:00 a.m. ET the following business day, and new listings remain subject to Nasdaq Listing Qualifications approval.
Daily Lists and Fundamental Data files see no change to timing, format or distribution.
A new halts file specific to securities in the Global Trading Session (9:00 p.m. to 9:30 a.m. ET) is under development, targeted for roughly 8:45 p.m. ET each trading day, with details to come.

Source document

play

Bank Policy Institute Source document ↗

United States Bank Policy Institute Markets & Infrastructure ✓ 17 claims 13 Nov 2026

Eighth Circuit vacates Fed debit interchange cap, remands Regulation II

The Eighth Circuit has struck down the Federal Reserve's debit interchange fee cap, affirming a lower court and sending Regulation II back to the Board. This segment covers what the ruling vacates, the unresolved cost-calculation question the court declined to reach, the circuit split it creates, and the Fed's options on appeal.

The Eighth Circuit vacated the 21-cent debit interchange cap in Regulation II and remanded to the Fed to build a fee structure reflecting the Durbin Amendment.
The current cap sets 21 cents plus 0.05% of transaction value, with an additional cent available to issuers meeting fraud-prevention standards.
The ruling diverges from the D.C. Circuit's 2014 decision upholding Regulation II, and a second challenge, Linney's Pizza v. Federal Reserve Board, remains before the Sixth Circuit.
BPI filed a motion to intervene in support of the rule, which was denied; its amicus brief argued the Fed must consider all costs of processing debit transactions.
The Fed may file a petition for rehearing en banc within 45 days of the decision or seek Supreme Court review.

Source document

play

Federal Register — SEC Source document ↗

United States Federal Register — SEC Markets & Infrastructure ✓ 15 claims 13 Nov 2026

SEC moves to clear Eldridge funds for affiliated co-investment under 1940 Act

The SEC has published notice of an application by Eldridge Dynamic Income Fund and affiliated advisers for an order permitting co-investment among their business development companies, closed-end and open-end funds and affiliated investment entities. The relief, routine in form, would lift prohibitions on joint transactions in the Investment Company Act. An order will issue unless a hearing is requested by November 23.

The application seeks an order under sections 17(d) and 57(i) of the Investment Company Act and rule 17d-1 to permit joint transactions otherwise prohibited by sections 17(d) and 57(a)(4).
The relief would let Eldridge-affiliated BDCs, closed-end and open-end funds co-invest in portfolio companies with each other and with affiliated investment entities.
The application was filed on July 20, 2026 and amended on August 25, September 30 and October 8, 2026.
Interested persons must submit hearing requests to the SEC's Secretary by 5:30 p.m. Eastern on November 23, 2026, with proof of service on the applicants.

Source document

play

Federal Register — SEC Source document ↗

United States Federal Register — SEC Markets & Infrastructure ✓ 21 claims 13 Nov 2026

Nasdaq to publish disciplinary complaints and scrap $10,000 disclosure floor

Nasdaq has filed an immediately effective change to IM-8310-3 that will put copies of disciplinary complaints and decisions, including matters that previously fell below a $10,000 fine threshold, on its public website. The filing defines key terms, extends publication to temporary cease and desist notices and eligibility decisions in statutory disqualification cases, and aligns Nasdaq with FINRA and NYSE disclosure rules.

Nasdaq will publish full copies of disciplinary complaints and decisions on Nasdaq.com rather than summaries, and the change is operative November 14, 2026.
The $10,000 monetary threshold below which Nasdaq currently does not release disciplinary decisions is eliminated, aligning the exchange with FINRA Rule 8313 and NYSE Rule 8313.
Publication now extends to temporary cease and desist notices and orders, suspension notices under Rule 9400, and eligibility decisions involving members or associated persons previously subject to statutory disqualification.
Nasdaq retains discretion to redact confidential customer information or matters raising identity theft, safety, privacy or other concerns, and to waive release where it would violate fundamental notions of fairness.
Comments to the SEC must be submitted on or before November 23, 2026, and the Commission may summarily suspend the change within 60 days of filing.

Source document

play

Federal Register — SEC Source document ↗

United States Federal Register — SEC Governance & Accountability ✓ 22 claims 13 Nov 2026

NYSE Texas rewrites bylaws to give non-trading members a vote on directors

NYSE Texas has filed an immediately effective bylaw change that widens who may nominate and elect its fair-representation directors. The trigger is a new membership class, Limited Underwriting Members, that holds no trading permit. The filing swaps the defined term 'Permit Holders' for 'Participants' and frees the Nominating Committee to name non-member candidates. It matters to anyone tracking exchange governance mechanics and the SEC's fair-representation requirement.

The bylaws replace 'Permit Holders' with 'Participants' in Article II Sections 1, 2 and 3, Article IV Section 7 and Article IX Section 1, extending director-selection rights to all Exchange Act members.
The change responds to Limited Underwriting Members, a non-trading membership class added under SR-NYSETex-2026-06, who are members but hold no trading permit.
The Nominating Committee will no longer be limited to naming a current Participant and may nominate any individual of its choice as Non-Affiliated Director.
The filing is immediately effective under Rule 19b-4(f)(6); written comments are due on or before November 23, 2026.
NYSE Texas says the amendments align its bylaws with affiliates NYSE LLC and NYSE American LLC, and with Nasdaq and CBOE BYX practice.

Source document

play

Federal Register — SEC Source document ↗

United States Federal Register — SEC Markets & Infrastructure ✓ 16 claims 13 Nov 2026

Cboe EDGA adopts flexible Start Time order instruction ahead of regular hours

Cboe EDGA has filed an immediately effective rule change adding a Start Time order instruction that lets members delay when a pre-market order becomes eligible for execution. It aligns EDGA with affiliated exchange EDGX and takes effect December 7, 2026. This is a narrow order-handling change, but it matters to anyone routing pre-open flow across Cboe's equities venues.

EDGA will amend Rule 11.1(a)(1) to add a Start Time instruction allowing users to set, in 30-minute increments, when a pre-market order becomes eligible for execution.
Because orders are not eligible before the 7:00 a.m. Early Trading Session, the earliest practical Start Time is 7:00 a.m. and the latest permissible is 9:00 a.m.
EDGA intends to implement the change on December 7, 2026, coordinated with the same functionality on affiliate EDGX.
Existing order acceptance restrictions and the 7:00 a.m. threshold are retained, now tied to the later of 7:00 a.m. or the order's designated Start Time; use of the instruction is optional.
Filed as non-controversial under Rule 19b-4(f)(6), the change is immediately effective, with comments due by November 23, 2026.

Source document

play

Federal Register — SEC Source document ↗

United States Federal Register — SEC Markets & Infrastructure ✓ 17 claims 13 Nov 2026

Cboe BZX adopts flexible Start Time order instruction for pre-market trading

Cboe BZX has filed an immediately effective rule change amending Rule 11.1(a) to let users set the time their pre-market orders become eligible for execution, in 30-minute increments. The filing harmonises BZX order handling with affiliate EDGX. It is narrow and operational, but matters for any member coding order routing across the Cboe equities venues before the December implementation.

BZX will replace its fixed 4:00 a.m. and 7:00 a.m. start designations with a Start Time instruction set in 30-minute increments, with practical effect between 4:00 a.m. and 9:00 a.m. ET.
The Exchange intends to implement the change on 7 December 2026, in coordination with EDGX, and use of the instruction is optional.
Existing acceptance restrictions on Post Only Orders, ISOs, certain Market Orders, Minimum Quantity Orders and IOC or FOK orders are retained but apply until the later of 7:00 a.m. or the order's designated Start Time.
The filing is immediately effective as non-controversial under Section 19(b)(3)(A)(iii) and Rule 19b-4(f)(6); comments are due by 23 November 2026.
The order entry window remains at 2:30 a.m. and no Time in Force instructions are changed.

Source document

play

Federal Register — SEC Source document ↗

United States Federal Register — SEC Governance & Accountability ✓ 16 claims 13 Nov 2026

NYSE National drops ETP-holder requirement for fair representation director

A narrow but telling governance change at one of the NYSE-affiliated equity venues. NYSE National is removing the rule that its fair representation director must be an ETP Holder or associated person, aligning its bylaws with its sister exchanges and with Nasdaq and Cboe. The filing is immediately effective; the SEC is taking comment through late November.

NYSE National is removing the requirement in Article III, Section 3.4(b) that its Non-Affiliated (fair representation) director nominee be an ETP Holder or Person Associated with an ETP Holder.
The Nominating Committee may now publish the names of any individuals as nominees, not only current ETP Holders or associated persons.
The filing also retitles the bylaws from Eighth to Ninth and corrects a Section 5.7 cross-reference from Section 3.5 to Section 3.4.
The change took effect on filing under Rule 19b-4(f)(6); the SEC may summarily suspend within 60 days and comments are due by 23 November 2026.

Source document

play

US Federal Trade Commission — press releases Source document ↗

United States US Federal Trade Commission — press releases Conduct & Consumer ✓ 20 claims 13 Nov 2026

FTC and Washington settle with payment processor Riverside over hidden fees

The FTC and the State of Washington settled deceptive-practices allegations against payment processor Riverside Payments, its equipment-leasing affiliate Cascade and two owners. The case turns on undisclosed fees, auto-renewing contracts and a cancellation process the regulators say was effectively blocked. The order carries a large suspended judgment and immediate relief for affected merchants, and reaffirms the FTC's negative-option disclosure requirements.

Riverside, Cascade and owners Brandon Skinner and Jason Reese face a $32,083,921 judgment, suspended after payment of $600,000 due to inability to pay.
The order requires defendants to waive the $695 early termination fee or any rescission penalty for a 60-day period and notify customers of the option.
The FTC alleges violations of the FTC Act and the Gramm-Leach-Bliley Act for obtaining consumers' financial information through false statements.
Riverside advertised sales-agent earnings of $75,000 to $95,000, while agents on average made $3,787 per year, according to the complaint.
Defendants must clearly disclose all material terms before taking billing information and obtain express informed consent for negative-option billing.

Source document

play

American Bankers Association — newsroom Source document ↗

United States American Bankers Association — newsroom Financial Crime ✓ 18 claims 13 Nov 2026

OFAC settles with Extreme Networks for $1.53m and sanctions Rwandan defence ministry

A weekly digest of Office of Foreign Assets Control actions spanning four sanctions programmes: a self-disclosed Russia settlement with a US networking company, a replacement Iran general licence, new Congo-related designations aimed at Rwanda, and North Korea cyber-fraud targets. Compliance teams should treat these as discrete screening and licensing updates rather than a single policy shift.

OFAC's $1.53 million settlement with Extreme Networks resolves nine apparent Russia violations that were voluntarily self-disclosed yet determined egregious.
Iran General License FF-1, effective 29 October 2026, authorises wind-down of transactions involving Iraq Development Bank through 1 December 2026 and requires payments to blocked persons into blocked accounts.
OFAC sanctioned Rwanda's Ministry of Defence and Zigama Credit and Savings Society for facilitating support to the M23 movement in eastern DRC.
Ten individuals and one entity were designated for supporting North Korean government-run IT worker schemes using fraudulent identities, cryptocurrency and money laundering.

Source document

play

NIST Source document ↗

United States NIST AI, Technology & Data ✓ 20 claims 13 Nov 2026

NIST publishes cybersecurity guide for solo business owners

NIST has released a plain-language cybersecurity guide aimed specifically at solopreneurs, the millions of Americans who run a business as its sole employee. The guide translates the NIST Cybersecurity Framework into actionable, low-cost steps for readers with no prior security knowledge, replacing an older publication aimed at small businesses more broadly.

NIST Cybersecurity White Paper 50, Small Business Cybersecurity: Non-Employer Firms, was released November 2, 2026.
The guide targets solopreneurs, a category NIST says covers more than 28 million small businesses in the US.
It replaces and narrows the scope of NISTIR 7621, Small Business Information Security: The Fundamentals.
The guide draws its recommended actions from the NIST Cybersecurity Framework (CSF 2.0), with citations mapping each action to the relevant CSF section.
The document includes worksheets and three hypothetical use cases, a lawyer, an artisan and a business consultant, to help readers plan a strategy.

Source document

Regulatory news and audio briefings from financial regulators worldwide — financial crime, AML, sanctions, fraud, digital assets and compliance

Regulatory heat map

Latest briefings