Regulus — The global regulatory broadcast network

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US Federal Trade Commission — press releases Source document ↗

United States US Federal Trade Commission — press releases Conduct & Consumer ✓ 11 claims 29 Oct 2026

FTC warns 25 healthcare plan marketers over deceptive enrollment claims

The FTC's Bureau of Consumer Protection has sent warning letters to 25 companies that market or generate leads for healthcare plans, timed to the current open enrollment period. The letters flag specific categories of claims the agency considers potentially unlawful and reference past enforcement actions. Compliance and marketing teams in this sector should read the claim categories closely against their own current advertising.

FTC staff sent warning letters to 25 companies that market or generate sales leads for healthcare plans during the current open enrollment season.
The letters flag four categories of potentially unlawful claims, including misrepresenting plan benefits, costs, or falsely claiming a plan is major medical insurance.
The letters also warn against falsely claiming enrollees will receive free offers, cash rewards or rebates.
The letters cite seven prior FTC enforcement actions as examples, including Simple Health Plans, Benefytt Technologies, and Assurance IQ & MediaAlpha.
The FTC says it will send additional warning letters on a rolling basis and does not allege wrongdoing by current recipients.

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US Federal Trade Commission — press releases Source document ↗

United States US Federal Trade Commission — press releases Financial Crime ✓ 25 claims 29 Oct 2026

FTC reports over $80m in redress and 19 sites removed under Impersonation Rule

The FTC has published a progress report on its Impersonation Rule, in force since 2024. It names eight recent enforcement actions, including a credit-repair scheme accused of taking $200 million, totals the redress won so far, and flags a September consultation on whether platforms' ad-optimisation tools help scammers impersonate legitimate firms.

The FTC says it has completed 14 enforcement actions producing more than $80 million in consumer redress since the Impersonation Rule took effect in 2024.
Eight actions alleging rule violations have been brought since early April 2025, naming MediaAlpha, Innovative Partners, Consumer Impact Recovery, Mercury Marketing, Accelerated Debt Settlement, American Tax Service, Nerd Solutions and Credit Glory.
A federal court temporarily halted Credit Glory and froze its assets in August 2026 over an alleged scheme the FTC says took $200 million from US consumers, including servicemembers.
Registrars took down 19 websites impersonating the FTC after the agency sent letters identifying apparent rule violations.
Rule violators may face refunds and civil penalties of up to $53,088 per violation, and a September comment period asks whether platforms' ad-optimisation tools should be addressed.

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Federal Register — SEC Source document ↗

United States Federal Register — SEC Markets & Infrastructure ✓ 18 claims 29 Oct 2026

MIAX Pearl fixes fee schedule gap on midpoint order liquidity codes

A SEC filing notice covering a MIAX Pearl Equities fee schedule amendment. The change is procedural, clarifying which liquidity indicator codes apply to an existing rebate tier program rather than altering any fees or rebates. Useful for compliance teams tracking exchange fee schedule accuracy and SEC rule filing mechanics.

MIAX Pearl filed SR-PEARL-2026-43 with the SEC on October 14, 2026 to add liquidity indicator codes "Ep" and "Fp" to Section 1)e) of its Fee Schedule.
The codes have applied to Midpoint Peg Order executions during the Early Trading Session and Late Trading Session since they were established in a February 2025 filing (SR-PEARL-2025-05).
The exchange states it does not propose to amend any current fees or rebates and that rebates have been correctly applied since the codes were established.
The SEC waived the normal 30-day operative delay under Rule 19b-4(f)(6)(iii), making the rule change operative upon filing.
Interested persons may submit written comments on the filing by November 16, 2026, referencing file number SR-PEARL-2026-43.

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Federal Register — SEC Source document ↗

United States Federal Register — SEC Markets & Infrastructure ✓ 23 claims 29 Oct 2026

SEC approves NYSE Texas rule offering $50,000 service package to large dual listings

The SEC has approved, on an accelerated basis, a NYSE Texas rule change codifying complimentary services for listed issuers and creating a one-time package worth roughly $50,000 for larger dual listings. The order sets out why a share-count threshold does not amount to unfair discrimination under the Exchange Act and frames the move as competition for Texas listings.

New Rule 24 under Article 22 of the NYSE Texas Rule Book codifies complimentary services for all listed issuers, including use of the Exchange's Dallas headquarters.
An "Eligible Dual Listing" must dual list under Rule 18 and have 160 million or more total shares of common stock issued and outstanding, or 160 million shares issued and outstanding in the U.S. for a non-U.S. company.
Eligible Dual Listings may receive a one-time package of visibility and investor engagement products and services with a commercial value of approximately $50,000.
The SEC approved the filing on an accelerated basis under Section 19(b)(2) while still soliciting comment on Amendment No. 1 by November 18, 2026.
The Commission found the change consistent with Sections 6(b)(4), 6(b)(5) and 6(b)(8) of the Exchange Act and treated the services as a discount on listing fees.

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Deutsche Bundesbank — speeches Source document ↗

Germany Deutsche Bundesbank — speeches AI, Technology & Data ✓ 22 claims 29 Oct 2026

Bundesbank's Mauderer urges Europe to mobilise capital for AI investment

A Bundesbank keynote, delivered by Sabine Mauderer at AI Week Frankfurt, makes the case that AI's economic payoff for Europe depends as much on financing as on technology. It sets out where German and European capital is plentiful, where it falls short, and why pension reform and capital markets matter. A useful read for anyone tracking the AI investment debate.

OECD estimates nine major technology companies could invest a combined four trillion US dollars by 2030.
A Bundesbank survey found 68 percent of German businesses already use or plan to use generative AI by end-2026, but only 7 percent use it at larger scale.
Outstanding euro-denominated bonds issued by major US technology companies have reached around 40 billion euros.
Euro area households hold over 36 trillion euros in financial assets, which the speech says are too often not channelled into productive investment.
The speech identifies venture capital for scaling start-ups as the area where Europe most needs improvement.

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Single Resolution Board Source document ↗

European Union Single Resolution Board Prudential & Capital ✓ 26 claims 29 Oct 2026

SRB chair urges resolution authorities to widen their perimeter beyond banks

SRB Chair Dominique Laboureix used his closing remarks at the IADI conference in Berlin to set out where the resolution and deposit-insurance agenda needs to move. He frames the task around three questions: whether the regulatory perimeter still captures the right firms, whether authorities focus on the right risks, and whether existing tools are fit for a more interconnected system. It signals the direction of SRB and FSB work rather than any new rule.

Laboureix set out three test questions for the financial safety net: whether authorities are looking at the right perimeter, focusing on the right risks, and holding tools fit for a new environment.
He cited the FSB thematic review finding only four of 19 jurisdictions assessed fully compliant with Key Attribute 6 on funding in resolution, with the EU Banking Union not among them.
He argued operational incidents such as cyberattacks and third-party outages must become part of the crisis-preparedness agenda, citing the July 2024 CrowdStrike outage and the 20 October Revolut disruption linked to a Google Cloud failure in London.
He noted the European Commission's work on banking-sector competitiveness hints the Single Resolution Fund could take on a deposit insurance role for the largest banks and provide liquidity support to national deposit guarantee schemes.
He pointed to the revised IADI Core Principles 17 and 18 and the FSB Crisis Preparedness Strategic Review as the framework for closer cross-border and cross-sector cooperation.

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DOJ Criminal Division Source document ↗

United States DOJ Criminal Division Governance & Accountability ✓ 15 claims 29 Oct 2026

DOJ Antitrust Division sets out division of labour with state AGs on local mergers

The Justice Department has published an update on how its Antitrust Division is dividing merger review with state Attorneys General, naming completed consent decrees and referrals in cement and asphalt matters since January 2026. For GCs and antitrust counsel, it signals which authority is likely to take the lead on a given deal and when a federal filing may be deferred to a state enforcer.

The Division partnered with the Attorneys General of California and Tennessee on consent decrees resolving competition concerns in cement and asphalt regions within those states.
It referred asphalt market investigations in New York, Pennsylvania and New Jersey to those states' Attorneys General, who reached settlements with the parties.
Beller said the Division welcomes state leadership where the state is a purchaser facing direct injury or where competitive effects are confined to a single state.
Woodward said the Department will generally form its own views on resolving investigations into mergers of national importance, while partnering with states that contribute distinctively.

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DOJ Criminal Division Source document ↗

United States DOJ Criminal Division Conduct & Consumer ✓ 13 claims 29 Oct 2026

DOJ hands off two asphalt merger antitrust probes to state AGs after divestiture deals

The Justice Department's Antitrust Division closed two merger investigations in local asphalt markets by referring them to state attorneys general, who then secured divestiture agreements. The statement signals how the division is handing localized competition concerns to states while federal resources focus elsewhere.

DOJ issued Second Requests to Colas and Suit-Kote parties in October 2025 before referring the matter to New York and Pennsylvania.
New York and Pennsylvania settlement requires divestiture of four facilities, recorded as Assurance No. 26-065 and in Pennsylvania v. Colas Inc., No. 3:26-cv-1979 (W.D. Pa. filed Oct. 13, 2026).
CRH's proposed acquisition of Arcosa was valued at approximately $8.5 billion when announced in June 2026.
DOJ referred the CRH/Arcosa matter to the New Jersey Attorney General without issuing a Second Request, instead monitoring progress toward resolution.
The New Jersey divestiture agreement was filed as Davenport v. CRH plc, No. 3:26-cv-13625 (D.N.J. filed Oct. 20, 2026).

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DOJ Criminal Division Source document ↗

United States DOJ Criminal Division Governance & Accountability ✓ 16 claims 29 Oct 2026

DOJ charges 18 more noncitizens in North Carolina over 2024 election voting

The Justice Department has indicted 18 more noncitizens in North Carolina for voting in the 2024 general election, spread across the Eastern, Middle and Western Districts. Added to 12 defendants charged earlier this year, the new cases take the statewide total to 30. Prosecutors frame the push as a deterrent message before the 2026 election. This item sets out who is charged, with what, and the penalties involved.

Eighteen aliens, including one illegal alien, were indicted for voting in the 2024 general election, across North Carolina's Eastern, Middle and Western Districts.
The new charges are additional to 12 defendants previously indicted in the Eastern District, taking the statewide total charged this year to 30.
All nine Eastern District defendants are alleged to have falsely claimed U.S. citizenship to register and vote in 2024.
In the Western District, three defendants are charged with both voting by an alien and making a false claim to citizenship, while Edread Ray Stanley is charged only with voting by an alien.
Falsely claiming citizenship to vote carries a maximum of five years in prison and a $250,000 fine; voting by an alien carries up to one year and a $100,000 fine.

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SEC Speeches and Statements Source document ↗

United States SEC Speeches and Statements Digital Assets ✓ 12 claims 29 Oct 2026

SEC official signals transfer agent role in tokenized stock trading venues

A speech by the SEC's Division of Trading and Markets director to the Securities Transfer Association lays out how the agency's recently approved tokenized securities exemption and pending transfer agent rule modernization intersect. Compliance teams at transfer agents and issuers exploring tokenization should note the specific conditions attached to the exemption and the open questions on digital identifiers and escheatment.

The SEC approved the Innovation Exemption on September 17, a five-year conditional exemption from the 'exchange' definition for Tokenized Securities Venues (TSVs).
TSVs must be U.S. persons, operate on public permissionless blockchains, and are subject to volume limits, among other conditions.
Any tokenized NMS stock traded on a TSV must carry all the same rights and privileges as the underlying security.
Commissioner Hester Peirce posed four public feedback questions on the transfer agent rule proposal, including whether transfer agents should be allowed to use digital identifiers like email or wallet address instead of name and physical address.
The SEC is seeking feedback, particularly empirical data on costs and benefits, on its proposal to modernize transfer agent rules.

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DOJ Criminal Division Source document ↗

United States DOJ Criminal Division Financial Crime ✓ 18 claims 29 Oct 2026

DOJ charges five in 'ghost student' FAFSA fraud, seizes $750,000 crypto in Kenya

The Justice Department's new National Fraud Enforcement Division has unveiled the first charges from Operation Ghostbusters, a nationwide investigation into fraudulent federal student aid claimed through stolen identities and routed to a Kenyan network. For financial-crime leads, the file is a live case study in money-mule typologies, cross-border crypto forfeiture and the compliance exposure of banks and money service businesses moving disbursement refunds.

Five defendants are charged across the District of New Jersey, Eastern District of Virginia and District of Nebraska, with intended losses of $1.5 million, $1.4 million and $20,000 respectively.
Investigators seized more than $750,000 from a cryptocurrency account belonging to a Kenyan national, which the Fraud Division calls the first international seizure of its kind in its history.
The FBI says it has identified more than $32 million in losses in similar ghost-student schemes, with the Department putting the overall scale of the fraud well over $200 million.
In September or October 2026 investigators flagged 830,840 potentially fraudulent FSAIDs relating to nearly $130 million and recommended the Department of Education disable them.
There are now more than 40 open cases across 26 FBI field offices and more than 20 US Attorneys' Offices.

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European Central Bank Source document ↗

European Union European Central Bank Markets & Infrastructure ✓ 26 claims 29 Oct 2026

ECB confirms Europe's move to T+1 settlement on 11 October 2027

ECB board member Piero Cipollone used a keynote to an EU T+1 Industry Committee event to pin down the date, sequencing and supporting infrastructure for Europe's shift from T+2 to T+1 securities settlement, and to frame it within the Eurosystem's broader tokenisation work. For treasury, operations and post-trade teams, this is the clearest public statement yet of what the Eurosystem will change and when.

Europe will move to T+1 securities settlement on 11 October 2027, halving the trade-to-settlement window to one day.
T2S changes, including to the night-time settlement process, are planned for June 2027 ahead of the October migration.
Pontes, live since 21 September, will extend operating hours by mid-2027 and move to 24/7/365 availability in 2028, with immediate settlement finality targeted as early as next year.
The Eurosystem has accepted DLT-based marketable assets as eligible collateral since 30 March and is assessing extending eligibility to assets outside currently eligible settlement systems.
Appia aims to deliver a blueprint for an integrated European tokenised finance ecosystem by 2028, with a consultation report published on 28 October.

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US Federal Trade Commission — press releases Source document ↗

United States US Federal Trade Commission — press releases Conduct & Consumer ✓ 20 claims 29 Oct 2026

FTC and eight states sue Toast over hidden fees and fake 24/7 support claims

The FTC, along with California localities and seven state attorneys general, has sued restaurant point-of-sale and payment provider Toast Inc. This covers what the complaint alleges about hidden fees, a multi-step cancellation process, loan default triggers tied to cancellation, and false customer support claims, and what the legal basis for the case is.

The complaint alleges Toast subscriptions average around $900 per month depending on terminals and bundled add-ons.
Customers who fail to process payments within 120 days must return hardware or pay its full retail value, according to the complaint.
Restaurants that temporarily close are still required to pay $85 a month for payment processing, the complaint alleges.
Cancelling customers face an undisclosed early termination fee of $150 per month for each remaining month of the contract, with one consumer allegedly charged $5,318.87 after four years.
From September 2021 through late-July 2023, Toast allegedly added a $0.99 fee to certain online orders above $10 without adequate disclosure or consent, a fee that went to Toast rather than the restaurant.

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DOJ Criminal Division Source document ↗

United States DOJ Criminal Division Financial Crime ✓ 24 claims 29 Oct 2026

U.S. extradites dual national to El Salvador in first handover of own citizen

The DOJ Criminal Division announced the extradition of a dual U.S.-Salvadoran citizen to El Salvador to face murder charges. The department frames it as the first time the United States has handed over a U.S. national to answer for crimes committed in El Salvador. For anyone tracking extradition practice and international cooperation, the case marks a procedural milestone worth understanding.

Castillo Murga was surrendered to Salvadoran authorities to face charges of aggravated feminicide and imperfect homicide.
The DOJ calls this the first U.S. extradition of a U.S. national to face justice for crimes committed in El Salvador.
U.S. Magistrate Judge Sheri Pym certified his extradition on July 28, 2025, and U.S. District Judge John W. Holcomb denied habeas relief on November 5, 2025.
The Secretary of State issued a surrender warrant, and Judge Holcomb denied a stay of extradition on September 24, 2026.

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CISA Advisories Source document ↗

United States CISA Advisories AI, Technology & Data ✓ 14 claims 29 Oct 2026

Siemens patches SAML replay flaw in Mendix module across three versions

Siemens' ProductCERT has disclosed an authentication bypass in its Mendix SAML module affecting versions compatible with Mendix 9, 10 and 11. The advisory, republished by CISA, covers an unauthenticated replay attack and sets out vendor fixes and an interim mitigation for Critical Manufacturing and IT sector operators running affected builds.

CVE-2026-89209 affects Mendix SAML module versions below V4.2.4 (Mendix 10 and 11 compatible) and below V3.6.29 (Mendix 9 compatible).
The flaw allows an unauthenticated remote attacker to gain unauthorized access by replaying a valid SAML assertion in IdP-initiated authentication flows.
CVSS v3.1 base score is 6.8, rated medium severity, with vector AV:N/AC:H/PR:N/UI:R/S:U/C:H/I:H/A:N.
Siemens recommends updating to V4.2.4 or later, or V3.6.29 or later depending on the module, and disabling IdP-initiated SSO as an interim mitigation.
Siemens ProductCERT reported the vulnerability to CISA, which republished the advisory verbatim as SSA-137528 on October 29, 2026.

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Financial Stability Board Source document ↗

Global Financial Stability Board Prudential & Capital ✓ 17 claims 29 Oct 2026

FSB speech cites gap on resolution funding backstops across 19 jurisdictions

A closing speech at a Berlin conference on deposit insurance and resolution, delivered by an FSB-linked resolution authority chair, sets out where crisis-preparedness frameworks are falling short: perimeter gaps around stablecoins and new payment arrangements, growing operational risk, and unfinished implementation of existing resolution standards. It matters for anyone mapping how regulators are reframing non-bank and operational risk ahead of future rulemaking.

An FSB peer review (Thematic Review on Public Sector Backstop Funding Mechanisms, October 2026) found only four of 19 jurisdictions assessed fully compliant overall with Key Attribute 6 on funding in resolution.
The EU Banking Union was not among the jurisdictions found fully compliant, according to the speaker.
The speaker cites a 20 October disruption linked to a Google Cloud failure in London that affected Revolut's app, card payments, transfers and cash withdrawals alongside services at several other financial institutions.
The speech references IADI's revised Core Principles 17 and 18, covering cooperation among safety-net participants and cross-border information sharing respectively.
The Resolution Steering Group recently discussed stablecoin crisis management and responses to operational incidents, the speaker said.

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BIS Press Releases Source document ↗

Hong Kong BIS Press Releases Sustainability ✓ 17 claims 29 Oct 2026

HKMA finalises bank transition planning guidelines, widens green taxonomy

A speech by HKMA Deputy Chief Executive Arthur Yuen sets out where Hong Kong's sustainable finance framework stands: a taxonomy now in its Phase 2B prototype, transition planning guidelines just finalised for banks, and disclosure rules still being drafted. For compliance teams at Hong Kong banks, the sequencing of these three pieces matters more than the rhetoric around them.

The Hong Kong Taxonomy's Phase 2B prototype now covers 39 mitigation activities and 28 adaptation measures.
Transition planning guidelines for banks, covering climate risk management and client transition opportunities, have just been finalised.
The HKMA is still developing disclosure requirements for the banking sector, a step distinct from and later than the transition planning guidelines.
The Government Sustainable Bond Programme has issued nearly HK$280 billion in green bonds since 2019, funding over 110 government green projects.
A Digital Green Bond issued last month is described as the world's largest digital bond issuance to date.

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European Central Bank Source document ↗

European Union European Central Bank Markets & Infrastructure ✓ 27 claims 29 Oct 2026

ECB holds rates as inflation hits 3.8% on energy price shock

The ECB left its three key rates unchanged at its October meeting as an intensifying energy shock pushes headline inflation further above the 2% target while clouding the growth outlook. This statement sets out the Governing Council's reasoning and the risks it is weighing before its next move.

Inflation rose to 3.8% in September from 3.2% in August, with energy inflation up to 18.9% from 14.3%.
Inflation excluding energy rose to 2.3% in September from 2.1% in August, and services inflation rose to 3.2% from 3.0%.
The unemployment rate remained at 6.4% in August, with compensation per employee growth slowing to 3.3% in the second quarter from 3.6% in the first.
Bank lending rates for firms remained at 3.8% while the cost of market-based debt for firms rose to 4.1% in August from 4.0% in July.
Credit standards for loans to firms tightened in the third quarter, according to the ECB's latest bank lending survey, while corporate loan demand declined.

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ESMA Source document ↗

European Union ESMA Governance & Accountability ✓ 17 claims 29 Oct 2026

ESMA newsletter confirms Comporti as next chair, sets 2027 priorities

ESMA's bimonthly Spotlight on Markets newsletter rounds up September and October activity, led by confirmation of its incoming Chair and a preview of 2027 supervisory priorities. Compliance teams tracking T+1 settlement, MiCA amendments and cross-border supervisory cooperation will find pointers to the underlying publications here.

Carlo Comporti's appointment as ESMA's next Chair was confirmed by the Council of the European Union, effective 1 November 2026.
The newsletter flags ESMA's 2027 Annual Work Programme and a new Union Strategic Supervisory Priority on digital innovation.
The European Supervisory Authorities issued a joint call for vigilance over external dependencies, cyber threats and private markets.
ESMA set out proposals aimed at making MiCA clearer, safer and ready for emerging services.
ESMA signed a Memorandum of Understanding with the Securities and Exchange Board of India.

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Bank of England Source document ↗

United Kingdom Bank of England Governance & Accountability ✓ 20 claims 29 Oct 2026

Bank of England Court sets 50% office attendance rule from 1 October

Routine but revealing governance minutes from the Bank of England's Court of Directors cover a new office attendance mandate, progress on the Leeds relocation programme, committee appointments and succession planning for the Deputy Governor for Markets and Banking. Compliance and HR teams tracking the Bank's internal operating model will find the attendance and location details most material.

Staff will be required to be in the office 50% of the time from 1 October 2026, following the Flexibility Review.
Court noted progress toward a target of 500 staff based in Leeds by the end of 2027 under the Location Strategy Programme.
Court approved a new model for independently led reviews, to avoid overlap with the upcoming NAO review and the IMF's Financial Sector Assessment Program.
David Craig and Hanneke Smits were appointed to the Audit and Risk Committee, the latter effective 1 January 2027, and Paul Nowak to the Remuneration Committee.
The Chair confirmed preparation is underway for recruiting a new Deputy Governor for Markets and Banking as Dave Ramsden's term ends next year.

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European Central Bank Source document ↗

European Union European Central Bank Markets & Infrastructure ✓ 16 claims 29 Oct 2026

ECB holds deposit rate at 2.50% as energy shock clouds inflation outlook

The ECB's Governing Council met on 29 October 2026 and left its three key interest rates unchanged. This briefing covers the stated rationale, the balance of risks the Council identified, and what its data-dependent stance signals for the coming meetings. Relevant for treasury, markets and governance teams tracking euro area financing conditions.

The deposit facility, main refinancing operations and marginal lending facility rates remain unchanged at 2.50%, 2.65% and 2.90% respectively.
The Governing Council said the energy shock's increased magnitude and duration, and its indirect and second-round effects, are likely to drive up inflation and lower growth.
Financing conditions have tightened since the Governing Council's last meeting, which is likely to weigh on inflation and growth.
The APP and PEPP portfolios are declining as the Eurosystem no longer reinvests principal payments from maturing securities.
The Governing Council confirmed it is not pre-committing to a particular rate path and will proceed meeting by meeting.

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Hong Kong Exchanges and Clearing Limited Source document ↗

Hong Kong Exchanges and Clearing Limited Financial Crime ✓ 11 claims 29 Oct 2026

HKSCC flags updated UN terrorist and ISIL/Al-Qaida sanctions lists to participants

Hong Kong Securities Clearing Company has told its participants that updated sanctions and terrorist designation lists were published on 27 October 2026. This is a short screening notice rather than a rule change, but it carries a live compliance obligation: participants must reconcile their screening against the current designations under two separate Hong Kong legal instruments.

Updated designation lists under Cap. 575 and Cap. 537CB were published on 27 October 2026.
The terrorist and terrorist associate list appears in the Gazette; the ISIL and Al-Qaida list appears on the CEDB website.
HKSCC issued circular LSD/074/2026 on 29 October 2026 directing participants to both official sources.
Participants are advised to consult their legal advisers if in doubt about the lists.

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FCA Source document ↗

United Kingdom FCA Conduct & Consumer ✓ 13 claims 29 Oct 2026

FCA opens FSCS compensation route for former Verus Financial customers

The FCA is directing former customers of failed adviser Verus Financial Services Limited to the Financial Services Compensation Scheme, which has opened claims following an investigation. The notice sets out how to claim, how Ombudsman complaints interact with FSCS claims, and warns against using claims management firms or third parties.

Verus Financial Services Limited has not held permission to carry out any regulated financial services activity in the UK since 2025.
Verus cannot sell, transfer or reduce its assets without approval from the FCA.
FSCS has placed Verus under investigation and is now open to receive customer compensation claims.
Customers with an existing Financial Ombudsman complaint must still separately file a claim with FSCS, though no evidence resubmission is needed if their file is transferred.
The FCA states most of Verus's former clients will see no benefit from involving a third party, including claims management companies, in making a claim.

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Osaka Exchange Source document ↗

Japan Osaka Exchange Governance & Accountability ✓ 11 claims 29 Oct 2026

TSE flags Broadmedia stock for likely delisting after takeover bid approval

Tokyo Stock Exchange has placed Broadmedia Corporation shares under a supervisory designation ahead of a possible delisting, triggered by the company's approval of a takeover bid. This briefing covers the mechanics of that designation, the two delisting pathways now in play, and the timeline TSE has set for resolving the matter.

TSE designated Broadmedia Corporation stock (Code: 4347, Standard Market) as a Security Under Supervision (Confirmation) effective Oct. 29, 2026.
The designation lasts until TSE determines whether the company falls under the delisting criteria.
Broadmedia has approved a takeover bid from NSSK-EPSILON1 Co., Ltd. that may result in delisting.
Delisting would occur if the bidder demands a cash-out approved by the company, or if a share consolidation proposal reducing minority holdings to fractional shares is approved by shareholders.
The designation is made under Enforcement Rules for Securities Listing Regulations, Rule 604, Paragraph 1, Items (23) and (24).

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FCA Publications Source document ↗

United Kingdom FCA Publications Markets & Infrastructure ✓ 21 claims 29 Oct 2026

FCA consults on equity tape income sharing and incident reporting for all CTPs

The FCA has opened CP26/39, proposing how the equity consolidated tape provider must divide income with the venues and other firms that supply its data, and extending enhanced operational incident reporting to all CTPs. It matters to anyone contributing to or building UK equity and bond tapes, with the equity tape due to go live in 2027 or early 2028.

The consultation CP26/39 opened on 29 October 2026 and closes on 17 December 2026, with responses feeding into final rules.
Handbook rules will govern how the equity CTP's income share is split among data contributors, applying irrespective of the metric and percentage set in the five-year concession agreement.
Enhanced operational incident reporting would be extended to all CTPs, building on PS26/2 rules that come into force on 18 March 2027.
The FCA expects a Policy Statement on income splitting in spring 2027 and plans for the equity tape to start operating in 2027 or early 2028.
A separate Policy Statement on including SI quotes in the equity tape, plus key procurement documents, is planned by early 2027.

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HM Revenue & Customs Source document ↗

United Kingdom HM Revenue & Customs Governance & Accountability ✓ 16 claims 29 Oct 2026

HMRC pension newsletter flags DigiRAS delay to 2027 alongside IHT changes

HMRC's October 2026 pension schemes newsletter sets out a wide slate of tax and administrative changes affecting schemes, including inheritance tax amendments tied to an April 2027 deadline and a delay to a separate digitalisation project into the same year. Scheme administrators and trustees should treat this as a checklist of items to review rather than a single headline change.

HMRC published Pension Schemes Newsletter 186 on 29 October 2026 via its Pension Schemes Services team.
The newsletter covers minor technical amendments to the extension of inheritance tax to pensions, which takes effect from April 2027.
The digitalisation of the relief at source (DigiRAS) Strategic Payments Service has been delayed until 2027.
The newsletter also addresses tax on excess pension lump sum death benefits following lifetime allowance abolition and the two-year rule for death benefit tax treatment.
HMRC has launched a new online tool to help customers claim pension tax refunds, alongside published pension flexibility and registration statistics.

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FCA Source document ↗

United Kingdom FCA Conduct & Consumer ✓ 21 claims 29 Oct 2026

FCA: weak evidence, not weak pricing, is the usual fair value failing

An FCA director's blog distils supervisory work across consumer finance firms, credit fees and charges, and home energy consumer hire agreements into three questions compliance teams should be asking about their own fair value assessments under the Consumer Duty, now three years in force.

One credit card provider quantified cashback, foreign exchange savings and account benefits and set them directly against fees and interest paid, giving a clear evidence base for its fair value conclusion.
Stronger firms segmented customers by credit risk, product usage, distribution channel, vulnerability characteristics, APR bands and risk-based pricing groups to test fair value across groups rather than as a single homogeneous market.
One firm proactively contacted customers incurring certain charges to check they understood how and when those charges applied, rather than relying only on the existence or readability of disclosures.
The FCA reviewed consumer hire agreements for home energy equipment where 'pay as you save' promotions could lead customers to believe savings or affordability were guaranteed over agreements lasting up to 25 years.
The FCA says firms should be able to show their working: what the evidence shows, how it supports the fair value conclusion, and what they would do if it did not.

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FCA Source document ↗

United Kingdom FCA Digital Assets ✓ 21 claims 29 Oct 2026

FCA secures High Court undertakings forcing HTX exit from UK crypto market

The FCA has closed its financial promotions case against HTX, the global exchange formerly called Huobi, with High Court undertakings and a confidential settlement. The exchange is no longer active in the UK, cannot take new sign-ups or deposits, and has committed not to target UK consumers. The segment covers what binds, what remains, and the signal to other offshore platforms.

Huobi Global S.A. gave undertakings not to communicate financial promotions in contravention of section 21 of FSMA 2000, covering its website, apps and social media.
The FCA commenced proceedings in the High Court on 21 October 2025 and announced the enforcement action publicly on 10 February 2026.
HTX is no longer active in the UK: UK users cannot make deposits and new UK users cannot sign up to the platform.
The settlement terms are confidential and constitute no admission of liability or wrongdoing by Huobi Global or any other entity.
UK users should consult HTX's website for arrangements to withdraw any residual assets.

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Federal Register — CFTC Source document ↗

United States Federal Register — CFTC Markets & Infrastructure ✓ 22 claims 29 Oct 2026

CFTC seeks OMB clearance to renew ownership and control reporting forms

The CFTC has forwarded its Ownership and Control Reports information collection to OMB's regulatory review office for a routine renewal under the Paperwork Reduction Act. The notice sets out which rules and forms are covered, the Commission's burden estimates, and its response to the single comment received during the earlier 60-day window. Compliance teams at FCMs, clearing members and swap reporting entities should note the comment deadline.

Comments to OIRA are due on or before November 30, 2026, under OMB Control No. 3038-0103.
The collection covers Forms 102A, 102B, 102S, 40, 40S and 71 arising under §§ 17.01, 18.04, 18.05 and 20.5.
The CFTC estimates 1,779 respondents, 102 average burden hours per respondent, and 188,980 total annual burden hours, on occasion.
One anonymous commenter said the burden analysis aggregated seven instruments across 1,779 heterogeneous entities without itemising form-specific burden; the Commission is retaining its estimates.
The 60-Day Notice was published August 6, 2026 at 91 FR 50813.

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Bank of England Source document ↗

United Kingdom Bank of England Digital Assets ✓ 13 claims 29 Oct 2026

Bank of England consults on CCPs accepting tokenised collateral in clearing

The Bank of England has opened a consultation on how central counterparties can accept tokenised forms of eligible collateral. It covers a proposed Supervisory Statement clarifying how the Bank would assess such applications, and sits within the wider UK push on digital wholesale markets. Worth a few minutes for anyone running collateral, clearing or tokenisation workstreams.

The Bank of England opened the consultation on 29 October 2026, with responses due by 12 February 2027.
The Bank considers the existing regulatory framework is not a barrier to CCPs accepting tokenised eligible collateral, provided it meets central clearing standards.
Tokenised collateral must remain capable of being valued, transferred and realised when needed, including in stressed conditions.
A proposed Supervisory Statement would clarify how the Bank assesses applications involving tokenised collateral, applying same risk, same regulatory outcome.
The work is part of joint activity with the FCA, HM Treasury and industry on UK digital wholesale financial markets.

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Bank of England Publications Source document ↗

United Kingdom Bank of England Publications Digital Assets ✓ 19 claims 29 Oct 2026

Bank of England sets out expectations for CCPs accepting tokenised collateral

The Bank of England has opened a consultation on draft supervisory expectations for central counterparties that want to accept tokenised versions of collateral already eligible under the proposed UK CCP Rulebook. It creates no new regime but clarifies what the Bank expects CCPs to consider, and separately asks industry about stablecoins, tokenised money market fund units and tokenised gold as future collateral. Responses close 12 February 2027.

The draft supervisory statement creates no separate regime but clarifies token-specific factors CCPs must consider under the existing CCP Rulebook process.
Expectations cover liquidity, valuation and interoperability, settlement finality, credit and concentration risk, operational resilience, and custody and safeguarding.
Any new collateral type, including tokenised versions of already-accepted assets with non-identical risks, requires the Bank's permission through the margin permissions process.
The expectations apply to UK CCPs and to recognised non-UK CCPs the Bank deems systemically important to UK financial stability.
The consultation closes on 12 February 2027 and separately seeks views on stablecoins, tokenised MMF units and tokenised gold as future collateral.

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Department for Business and Trade — export control Source document ↗

United Kingdom Department for Business and Trade — export control Governance & Accountability ✓ 13 claims 29 Oct 2026

UK guidance on employment agency rules updated to name Fair Work Agency

This is a housekeeping update to long-standing guidance on the Conduct of Employment Agencies and Employment Businesses Regulations 2003. It matters mainly for recruitment firms checking who to contact and which regulator now enforces the rules, following the creation of the Fair Work Agency.

From 7 April 2026 the Fair Work Agency (FWA) replaced the Employment Agency Standards (EAS) Inspectorate as the body named in the guidance.
On 29 October 2026 the department updated contact details at the bottom of each attachment from Employment Standards Agency to Fair Work Agency.
On 22 June 2026 the PDF version of the guidance was removed and replaced with an accessible HTML version.
Regulation 13A requires a 'Key information document' for agency workers, a requirement that took effect from 6 April 2020.
The guidance also covers Regulation 18 on information agencies must obtain from hirers and Regulation 21 on information to be provided to work-seekers and hirers.

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ISDA Source document ↗

Global ISDA Markets & Infrastructure ✓ 19 claims 29 Oct 2026

ISDA adds AI tracer agent to reporting tool, flags 43 removable CFTC-SEC fields

ISDA chief executive Scott O'Malia sets out how the association is applying AI to its Digital Regulatory Reporting solution and where it wants regulators to cut complexity. For anyone running derivatives trade reporting across CFTC, SEC, FCA and ESMA regimes, this is the direction of travel on both tooling and rule simplification.

ISDA has launched the AI-powered DRR Tracer Agent, giving users an auditable record mapping DRR interpretations back to regulatory reporting requirements.
Four more AI agents are in development: a Translator Agent, a Coder Agent, a Knowledge Agent and a Mapper Agent.
The DRR, launched in 2022 on the Common Domain Model, now covers eight further regimes and is committed to 14 reporting rule sets in nine jurisdictions.
In its CFTC-SEC consultation response, ISDA scrutinised 177 data fields and identified 43 it says provide no regulatory value or duplicate existing data.
ISDA says industry working groups will still review and agree DRR interpretations, with AI speeding the translation of those judgments into code.

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Federal Register — CFTC Source document ↗

United States Federal Register — CFTC Markets & Infrastructure ✓ 25 claims 29 Oct 2026

CFTC doubles its estimate of registered derivatives clearing organizations

This Federal Register notice renews a long-standing information collection covering DCO registration and ongoing reporting under CFTC Part 39. Behind the procedural language sits a sharp revision to the agency's own count of market participants, plus a pointed rejection of a request to use the process to impose new tokenized-collateral recordkeeping rules.

The Commission increased its estimate of registered DCOs from 13 to 24 and full-registration applicants from one to 10, based on data as of July 2026.
Total estimated annual burden hours for the collection rose to 98,886 across an estimated 109 respondents filing 26,119 annual responses.
Capital and start-up or operations and maintenance costs associated with the collection are estimated at $821,470.
A commenter's request to add recordkeeping and risk-analysis requirements for tokenized collateral, based on CFTC Staff Letter No. 25-39, was rejected because that guidance creates no additional rights or requirements.
Comments on the extension are due to OIRA by November 30, 2026, following an earlier 60-day comment period published August 6, 2026.

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Federal Register — Treasury Source document ↗

United States Federal Register — Treasury Governance & Accountability ✓ 17 claims 29 Oct 2026

FinCEN renews OMB clearance for its service feedback survey program

A routine Paperwork Reduction Act notice covering FinCEN's generic clearance for collecting public feedback on its service delivery. The item matters mainly to institutions that receive FinCEN surveys and to compliance teams tracking reporting burden estimates, with a comment deadline of November 30, 2026.

Comments on the renewal are due on or before November 30, 2026, submitted via www.reginfo.gov.
FinCEN revised its estimates upward by approximately 28 respondents and six burden hours per year after identifying an additional survey for the collection.
The revision adds a total of 84 respondents and 18 hours over the full three-year period covered by this notice.
Estimated average number of expected respondents annually is 5,245, out of an estimated average potential pool of 39,755.
Estimated average total annual reporting burden is 1,502 hours, with an estimated total three-year reporting burden of 4,507 hours.

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HKMA — Hong Kong Monetary Authority Source document ↗

HKMA — Hong Kong Monetary Authority Prudential & Capital ✓ 17 claims 29 Oct 2026

HKMA says HK markets orderly after Fed holds rates at 3.75-4%

The HKMA responded to the Federal Reserve's decision to hold rates steady, noting Hong Kong's markets remain orderly while flagging risks from the persistent interest rate differential between the two currencies. The statement is a routine market commentary rather than a policy change, but signals what the authority is watching.

The Fed kept the federal funds rate target range unchanged at 3.75-4% on 29 October 2026, in line with market expectations.
The Fed's statement cited strong economic activity, a stable labour market, and inflation that has remained elevated.
The HKMA said the persistent HKD-USD interest rate differential may cause carry trade activity to gradually ease the Hong Kong dollar.
The HKMA said the Hong Kong dollar and interbank rate outlook depends on factors including carry trade risk appetite and HKD supply-demand conditions.
The HKMA advised the public to carefully manage interest rate risks in decisions on property purchase, investment or borrowing.

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ADGM Abu Dhabi — announcements Source document ↗

United Arab Emirates ADGM Abu Dhabi — announcements Governance & Accountability ✓ 13 claims 29 Oct 2026

ADGM fines MCA Auditors and audit principal $88,000 over audit failings

ADGM's Registration Authority has penalised an audit firm and its registered audit principal following an inspection of a single engagement for an ADGM-registered company. The case sets out the specific audit failings found and the factors the RA weighed in setting the penalty split between firm and individual.

The RA imposed USD 52,000 on MCA Auditors and Advisors LLP and USD 36,000 on its Audit Principal following an inspection.
Deficiencies were identified in risk assessment procedures, fraud risk considerations, group audit requirements, communications with those charged with governance, and insufficient evidence over material areas.
The RA found limited evidence of the Audit Principal's involvement throughout the engagement.
Penalties reflected cooperation provided, acknowledgement of inspection findings, and MCA's root-cause analysis and remediation plan.
Decision Notices describing the contraventions have been published separately for the firm and the Audit Principal.

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ADGM Abu Dhabi — announcements Source document ↗

United Arab Emirates ADGM Abu Dhabi — announcements Digital Assets ✓ 18 claims 29 Oct 2026

ADGM issues region's first dedicated guidance on crypto mining activities

ADGM's Registration Authority has published standalone guidance covering commercial licensing, governance and disclosure expectations for crypto mining operators. It sets the regulatory perimeter between commercial mining and FSRA-regulated financial services, and is the first phase of a wider framework the RA plans to develop. Compliance teams considering mining operations in the UAE should review the licensing pathway and disclosure requirements it sets out.

The Guidance is issued under section 23 of the Commercial Licensing Regulations 2025 and treats crypto mining as a licensable commercial activity, not a regulated financial service.
A dedicated commercial licence with business activity code 7230 is highlighted for crypto mining operators.
Operators must disclose corporate structure and ultimate beneficial ownership, and must confidentially disclose on-chain reward-flow addresses.
This publication is described as the first phase of the RA's approach; a second phase will develop a regulatory framework, to be consulted on with the market in due course.
The Guidance follows an eight-week public consultation published earlier in the year that generated feedback used to tailor the final text.

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Federal Register — SEC Source document ↗

United States Federal Register — SEC Markets & Infrastructure ✓ 16 claims 28 Oct 2026

Cboe BYX widens fee definition to capture tokenized and dealer trading venues

Cboe BYX Exchange filed a fee schedule amendment broadening its 'Trading Platform' definition beyond exchanges, ATSs and ECNs to any system that systematically executes third-party orders electronically, including single-dealer platforms and tokenized venues. The change is effective immediately but open for comment, with implications for which venues pay the higher non-display data fee.

BYX filed SR-CboeBYX-2026-040 on October 19, 2026, replacing an earlier version it withdrew that had been submitted September 1, 2026 as SR-CboeBYX-2026-031.
The amended definition adds a catch-all category covering any system through which third-party orders are systematically executed by electronic means, naming broker crossing systems not filed as ATSs, systematic internalization systems, and decentralized blockchain-based or tokenized environments as examples.
A Trading Platform is subject to a fee of $2,000/month for BYX Depth for Non-Display Usage, versus $1,000/month for a non-Trading Platform.
The rule change became effective immediately under Section 19(b)(3)(A) of the Exchange Act, though the Commission may summarily suspend it within 60 days of filing.
Comments on the filing are due on or before November 16, 2026, referencing file number SR-CboeBYX-2026-040.

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US Federal Trade Commission — press releases Source document ↗

United States US Federal Trade Commission — press releases Conduct & Consumer ✓ 16 claims 28 Oct 2026

FTC orders nine firms to reveal personalised pricing and gig pay methods

The Federal Trade Commission has compelled nine airlines, ride-sharing and food-delivery firms to hand over the methodologies behind how they set consumer prices and gig-worker compensation. The inquiry targets whether personal data is used to charge different people different amounts for the same product, and whether driver pay turns on opaque formulas. Recipients have 45 days to respond.

The FTC issued Section 6(b) orders to Delta, United, JetBlue, Lyft, Uber, DoorDash, Instacart, Target and Walmart.
Recipients have 45 days from receipt of the orders to respond, and non-compliance can be compelled in federal court.
The orders seek the inputs, tools and procedures used to set or adjust both consumer pricing and gig-worker compensation.
The Commission vote to approve the special orders was 2-0.
The FTC says its mid-2024 personalised pricing study examined only middleman consultancies, and this inquiry demands information directly from the firms that set prices.

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Federal Register — SEC Source document ↗

United States Federal Register — SEC Markets & Infrastructure ✓ 16 claims 28 Oct 2026

Cboe EDGX drops duplicate disclosure notice for UTP-traded funds

Cboe EDGX Exchange has filed an SEC rule change removing its requirement to issue a separate information circular before trading begins in securities admitted under unlisted trading privileges. The filing took effect immediately. This briefing covers what the rule change removes, what it adds, and why the Commission waived the standard 30-day delay.

The Exchange deleted Rule 14.1(c)(1) in its entirety, removing its own pre-trading information circular requirement for UTP Derivative Securities.
Rule 14.1(a) gains express cross-references to Rule 3.7 (suitability) and Rule 3.21 (customer disclosures for extended-hours trading).
Current Rule 14.1(c)(2)(B) is amended so the written description must be in a form approved by the listing exchange or prepared by the issuing open-ended management company.
Current Rules 14.1(c)(2) through (5) are renumbered as Rules 14.1(c)(1) through (4), with a conforming cross-reference update in Interpretations and Policies .01.
The SEC waived the standard 30-day operative delay under Rule 19b-4(f)(6)(iii), making the change effective upon filing, with comments due by November 16, 2026.

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DOJ Criminal Division Source document ↗

United States DOJ Criminal Division Financial Crime ✓ 19 claims 28 Oct 2026

Former US Army official pleads guilty to bribery over Hawaii defense contracts

A former civilian US Army official has pleaded guilty to conspiracy, bribery and major fraud over a scheme that corrupted competition for a Pacific technology innovation lab. The case shows the Procurement Collusion Strike Force continuing to pursue contract fraud, and sits alongside a pending trial of two defense contractors scheduled for May 2027. It matters for anyone managing government contracting integrity.

Carlos Duque pleaded guilty on October 28, 2026 to conspiracy, bribery and major fraud in the District of Hawaii.
The scheme ran from January 2021 to October 2022 and involved an agreed bribe of approximately $1.25 million over five years, of which Duque received approximately $55,000.
The US Army paid over $3 million to the company controlled by coconspirators Brian Kent and Leonard Pick.
Duque faces up to 15 years on the bribery count and agreed to forfeit $55,166.70; sentencing follows under the Sentencing Guidelines.
Kent and Pick were indicted in May 2026 and are scheduled for trial on May 17, 2027.

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DOJ Criminal Division Source document ↗

United States DOJ Criminal Division Financial Crime ✓ 18 claims 28 Oct 2026

Virginia mental health executive charged in $49M Medicaid crisis-services fraud

The Justice Department's new Fraud Division has indicted the co-owner of a Richmond-area mental health provider over a $49 million scheme to bill Virginia Medicaid for crisis services that were not delivered as claimed. The case illustrates how the department's reorganised health care fraud apparatus is pursuing behavioral health providers, and the evidentiary patterns, falsified signatures and audit obstruction, that prosecutors are building around.

Mikia Antoneice Noble, co-owner and COO of ACE, was indicted October 20 and arrested October 28 over a $49 million Virginia Medicaid fraud scheme.
Prosecutors allege ACE billed for crisis services as if delivered by qualified teams when only a single low-level professional attended.
The indictment alleges over $2 million paid for hotel rentals to induce beneficiaries, plus falsified records and lies to Managed Care Organization audits.
Noble faces conspiracy to commit health care fraud and three counts of health care fraud, each carrying a maximum of 10 years in prison.

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FINRA Source document ↗

United States FINRA Markets & Infrastructure ✓ 15 claims 28 Oct 2026

FINRA clarifies options rules now cover binary options, effective immediately

FINRA's October 28 digest confirms a rule change that already took effect this week: binary options now fall squarely under existing options oversight. Compliance and legal teams at member firms offering or clearing these products should understand which rules now apply and the margin computation changes before examiners ask about them.

Regulatory Notice 26-21, published Oct. 26, 2026, applies Rules 2220, 2360 and 4210 to binary options.
The notice covers binary options whose payout is based on an issuer's reported financial or operating metrics.
It also covers binary options cleared by a registered clearing agency other than The Options Clearing Corporation.
FINRA updated its Rule 4210 interpretations to clarify the required margin computations for binary options.
The rule changes took effect Oct. 22, 2026, four days before the explanatory notice was published.

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FINRA Source document ↗

United States FINRA Conduct & Consumer ✓ 23 claims 28 Oct 2026

SEC clears FINRA rule letting brokers show performance projections to clients

FINRA's October 21 weekly update confirms SEC approval of a rule change allowing member firms to include performance projections in communications with investors, alongside several other near-term compliance deadlines. Compliance officers tracking advertising rules, underwriting compensation disclosure and qualification exam policy should note the staggered effective dates listed.

The SEC approved FINRA's amendment to Rule 2210 on Oct. 15, 2026, allowing performance projections and targeted returns in public communications subject to certain conditions.
FINRA has not yet set an effective date for the Rule 2210 amendment and will announce it in a future Regulatory Notice.
Regulatory Notice 26-19, published Oct. 21, amends Rules 5110 and 5123; the Rule 5123 changes take effect Oct. 21 and the Rule 5110 changes take effect Dec. 21.
Regulatory Notice 26-18, published Oct. 14, details shortened waiting periods for retaking failed qualification exams, effective Jan. 19, 2027.
Responses to the 2026 Customer Information Request are requested by Nov. 18, and SFAC/Regional Committee candidate forms are due by Nov. 19.

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FINRA Source document ↗

United States FINRA Conduct & Consumer ✓ 18 claims 28 Oct 2026

FINRA drops principal approval for late bulk adviser order allocations

FINRA's Oct. 14 weekly update summarizes Regulatory Notice 26-17, which finalizes amendments to Rule 4515.01 governing how firms allocate bulk orders placed by investment advisers. The change is part of the broader FINRA Forward rule modernization effort and removes a specific post-trade review step for member firms.

FINRA Regulatory Notice 26-17, published Oct. 9, summarizes amendments to Rule 4515.01 on allocations of orders made by investment advisers.
The amendments eliminate the requirement that a principal review and approve allocations of bulk investment adviser orders received after trade date.
The notice text states the amendments take effect Nov. 16, 2026.
A separate Regulatory Reminders entry in the same FINRA update states the rule change takes effect Nov. 6.
The amendments are described as part of the FINRA Forward rule modernization initiative.

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Securities and Exchange Commission Source document ↗

United States Securities and Exchange Commission Conduct & Consumer ✓ 16 claims 28 Oct 2026

Nasdaq to publish all disciplinary complaints and drop $10,000 fine threshold

Nasdaq has filed an immediately effective rule change expanding public disclosure of its disciplinary process. The amendment, operative November 14, 2026, replaces summaries with full document publication and removes the monetary threshold that previously shielded smaller fines from release. Compliance teams tracking member exam outcomes should note the broadened scope.

The rule change was filed October 15, 2026 and becomes operative November 14, 2026.
The $10,000 monetary threshold below which Nasdaq previously withheld disciplinary decisions is eliminated entirely.
Nasdaq will publish full copies of disciplinary complaints and decisions rather than summaries, mooting the prior practice of releasing information about such documents.
Proposed IM-8310-3(a)(1) defines disciplinary complaint to include notices issued under Rules 9400 and 9810, a scope broader than FINRA's or NYSE's equivalent rules.
The rule adds public release of eligibility decisions involving members or associated persons previously subject to statutory disqualification.

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Securities and Exchange Commission Source document ↗

United States Securities and Exchange Commission Markets & Infrastructure ✓ 22 claims 28 Oct 2026

NYSE American waives floor broker credit cap for October 2026 amid outcry volumes

NYSE American has filed an immediately effective fee change waiving, for October 2026, the monthly cap on combined Floor Broker credits for QCC trades and rebates under its Manual Billable Rebate Program. It is the latest in a run of adjustments to the same ceiling across 2025 and 2026, driven by what the exchange calls elevated open outcry volume and the risk that brokers hitting the cap redirect flow to rival venues.

The waiver removes, for October 2026 only, the per-firm monthly ceiling on combined Floor Broker QCC credits and Manual Billable Rebate Program rebates.
The cap was $3,000,000 in 2025, was raised to $4,000,000, waived for January and February 2026, and increased to $5,500,000 in March 2026.
The change is effective immediately on filing under Section 19(b)(3)(A) as a fee change; the SEC may summarily suspend it within 60 days.
NYSE American reports a 12.39% market share of executed multiply-listed equity and ETF options volume in September 2026, with no exchange above 16%.
No written comments were solicited or received; comments are due 21 days after Federal Register publication, file number SR-NYSEAMER-2026-95.

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FINRA Source document ↗

United States FINRA Conduct & Consumer ✓ 10 claims 28 Oct 2026

FINRA and SIFMA Foundation launch five-year investor education alliance

FINRA and the SIFMA Foundation announced a five-year partnership to expand financial education for young people, citing survey data on parental confidence gaps and the growth of youth-targeted investment products. The item is relevant to compliance and government affairs teams tracking regulator priorities on financial literacy and retail investor protection.

FINRA and the SIFMA Foundation announced a five-year strategic alliance on October 28, 2026 to expand investor education for young people.
A SIFMA Foundation survey found 92% of parents believe it is critical for children to learn about investing, while 78% lack confidence to teach investing basics at home.
The survey also found 76% of respondents believe financial education should start before high school.
The Stock Market Game, the Foundation's flagship program launched in 1977, has reached more than 24 million young people to date.
The announcement references new initiatives such as Trump Accounts and the growth of online investing apps and finfluencers as context for the alliance.

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Bank Policy Institute Source document ↗

United States Bank Policy Institute AI, Technology & Data ✓ 13 claims 28 Oct 2026

Bank Policy Institute frames agentic AI debate around two use cases, four questions

The Bank Policy Institute, via an American Banker op-ed, sets out how it sees agentic AI in banking: two distinct use cases and four questions it says should not be conflated. For compliance and government affairs teams tracking how the industry is positioning ahead of rulemaking, it signals the arguments banks intend to press on AI agents accessing and managing customer accounts.

BPI identifies two major agentic AI use cases: an agent transacting on a customer's account, and an agent managing the account.
Account management is framed as sweeping funds to higher-yielding products or moving uninsured deposits out of a struggling bank.
BPI says these use cases raise four important questions that should not be conflated, without the questions being enumerated in the excerpt.
The op-ed, by Greg Baer and Paige Pidano Paridon, was originally published by American Banker on October 28, 2026.

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