Regulus — The global regulatory broadcast network

play

Federal Register — SEC Source document ↗

United States Federal Register — SEC Markets & Infrastructure ✓ 17 claims 26 Oct 2026

SEC overrules own staff, approves OCC clearing fund shift Fidelity opposed

The SEC has issued a de novo order on OCC's proposal to reweight how Clearing Members fund the mutualized Clearing Fund, shifting the formula toward stress-loss shortfall rather than open interest. Fidelity petitioned against the staff-level approval, arguing it disadvantages agency brokers. This covers the Commission's reasoning for overriding that objection and approving the change.

OCC filed the proposed rule change SR-OCC-2025-018 with the SEC on September 26, 2025.
The new weighting scheme is 70% shortfall, 15% margin and 15% volume, replacing 70% total risk, 15% open interest and 15% volume.
OCC's lookback period for allocation-related measures moves from one month to three months of data.
New Rule 1003(c) gives OCC sole discretion to hold Clearing Fund allocation weights constant month-over-month during volatile conditions.
For the top 15 Clearing Fund allocations in June 2026, nine members would have seen increases of +8.69% to +104.78% and six would have seen decreases of -4.79% to -39.97% under the proposal.

Source document

play

Federal Register — SEC Source document ↗

United States Federal Register — SEC Markets & Infrastructure ✓ 12 claims 26 Oct 2026

SEC acknowledges ICE Futures U.S. notice of national exchange registration

A short Federal Register notice confirms the SEC's receipt of a Form 1-N from ICE Futures U.S., the mechanism by which a CFTC-designated contract market registers as a national securities exchange solely for security futures trading. It matters chiefly as a procedural marker for firms tracking venue status and registration effective dates under Exchange Act Section 6(g).

ICE Futures U.S., Inc. filed a Form 1-N with the SEC on September 30, 2026.
The Commission acknowledged receipt of the Form 1-N under Exchange Act Section 6(g)(3) in Release No. 34-106567, File No. 10-256, dated October 1, 2026.
Under Section 6(g)(2)(B) of the Exchange Act, registration as a national securities exchange becomes effective contemporaneously with the written notice's submission.
The Division of Trading and Markets examines the Form 1-N under Rule 202.3(b)(3) to determine whether all necessary information and required documents have been properly furnished.
Copies of the Form 1-N and all exhibits are available on the SEC's website.

Source document

0:15

FMA Austria Source document ↗

FMA Austria Governance & Accountability ✓ 17 claims 26 Oct 2026

FMA holds 17th supervisory conference as Ettl departs for IMF post

The FMA's annual supervisory conference brought together European regulators, central bankers and industry leaders in Vienna to discuss banking union completion, market fragmentation and digital transformation. The event also marks the final appearance of long-serving Executive Director Helmut Ettl before he departs for the IMF, with Oliver Schütz named as his successor.

The conference convened around 700 participants at the Vienna Congress and Convention Center on 6 October 2026.
Keynote speakers included State Secretary Barbara Eibinger-Miedl, EBA Chairperson François-Louis Michaud and OeNB Governor Martin Kocher.
Helmut Ettl will stand down as FMA Executive Director after over 18 years to become an IMF Executive Director in Washington DC on 1 November 2026.
Oliver Schütz, currently FMA Managing Director for Banking Resolution, has been appointed to succeed Ettl.
Discussion topics included completion of the Banking Union, the Savings and Investments Union, and the impact of AI on the financial sector.

Source document

play

European Central Bank Source document ↗

European Union European Central Bank Governance & Accountability ✓ 15 claims 26 Oct 2026

ECB's Lane says rising long-term yields will weigh on rate decisions

An interview with ECB Executive Board member Philip Lane covers how the central bank is weighing the Middle East energy shock, rising global long-term yields and AI-driven investment against its 2% inflation target. For compliance and treasury teams tracking euro area rate signals, it offers direct commentary on what factors are shaping upcoming decisions.

Lane says the ECB has not yet seen very strong second-round effects from higher energy prices following the Middle East conflict.
He identifies AI-driven investment in the United States, financed by long-term debt issuance, as a key factor behind rising global long-term yields.
Lane notes the Next Generation EU programme ends this year, meaning fiscal support available in 2026 will differ in 2027 and 2028.
He states Italy recorded an inflation reading of 4.1 per cent, cited by the interviewer as a trigger for debate over EU budget flexibility.
September ECB projections show Italian wages running ahead of inflation in 2027 and 2028, per Lane.

Source document

play

FCA Source document ↗

United Kingdom FCA Conduct & Consumer ✓ 15 claims 26 Oct 2026

FCA orders board-level review of whistleblower contact after Simon Andriesz's death

The FCA's general counsel has disclosed the death of a long-standing whistleblower and announced an internal review of how the regulator interacted with him. The blog also sets out whistleblowing report volumes and outcomes for the past year, giving compliance teams a rare look at how the FCA processes and acts on tips.

Whistleblower Simon Andriesz, who had been in contact with the FCA for many years, died just over a week before the blog's publication on 6 October 2026.
The FCA has asked newly appointed independent non-executive board director Lea Paterson to review how it interacted with Mr Andriesz.
The FCA plans to share any lessons from Paterson's review, and how it will act on them, early next year.
Whistleblowing reports to the FCA increased 22% last year, and the regulator closed 1,252 reports, providing feedback on each one.
Of the closed reports, 42% led to direct action to manage or reduce harm and 53% informed wider FCA work and harm prevention.

Source document

play

DOJ Criminal Division Source document ↗

United States DOJ Criminal Division Governance & Accountability ✓ 13 claims 26 Oct 2026

DOJ settles RLUIPA zoning claim against Atlantic Beach, New York

A village zoning code required religious and educational assemblies, but not secular ones, to obtain discretionary permits. This briefing covers the DOJ settlement that followed and the specific obligations it imposes on the Village of Atlantic Beach, relevant to any institution handling land-use disputes involving religious applicants.

The settlement resolves claims that Atlantic Beach's zoning ordinance violated RLUIPA's equal terms provision by requiring religious and educational assemblies, but not secular ones, to obtain a special exception permit from the Board of Appeals.
The Village agreed to revise its zoning ordinance to permit religious uses as of right in the Residential (A) district, removing the special exception requirement.
The settlement requires the Village to train its officials and employees on RLUIPA's requirements.
The Village must establish a procedure for receiving and resolving RLUIPA complaints.
The settlement follows resolution of a private lawsuit brought by Chabad of the Beaches, an Orthodox Jewish organization, over denial of its application to use a vacant commercial property for a religious facility.

Source document

play

Washington State DFI Source document ↗

United States Washington State DFI Conduct & Consumer ✓ 14 claims 26 Oct 2026

Washington regulator warns consumers on hidden costs of BNPL and card rewards

Washington's Department of Financial Institutions published consumer guidance examining three common payment structures, credit card rewards, promotional 0% financing and buy now, pay later installments, and the costs each can obscure. Compliance teams marketing these products should note the regulator's framing of what adequate disclosure looks like from a consumer-protection standpoint.

DFI states that a 3% credit card surcharge would more than offset 2% cash back earned on the same purchase.
The post notes that unpaid promotional financing balances begin accruing interest at the regular APR once the promotional period ends.
DFI describes BNPL plans that automatically withdraw payments from a debit card or bank account, risking overdraft fees if funds are unavailable.
The guidance advises consumers to ask four questions before accepting any offer: what they get, what fees or interest apply, when payments are due, and what happens if they cannot pay on schedule.
DFI notes that adding an authorized user, opening a joint account or asking someone to cosign can create financial consequences for both parties involved.

Source document

play

Federal Register — SEC Source document ↗

United States Federal Register — SEC Governance & Accountability ✓ 17 claims 26 Oct 2026

SEC notices co-investment exemption for Neostellar and Magnetar fund vehicles

A routine but consequential exemptive application: Neostellar Capital Corp, Magnetar Financial LLC and affiliated vehicles are asking the SEC to permit joint co-investment transactions normally barred under the Investment Company Act's affiliated-transaction rules. The notice sets a hearing-request deadline, giving interested parties a narrow window to object before the order issues.

Applicants seek an order under sections 17(d) and 57(i) of the Investment Company Act of 1940 and rule 17d-1 to permit co-investment among BDCs, closed-end and open-end funds and affiliated entities.
The application was originally filed on August 3, 2026 and amended on October 2, 2026.
Hearing requests must be received by the Commission by 5:30 p.m. Eastern time on November 16, 2026, accompanied by proof of service on applicants.
Absent a Commission-ordered hearing, an order granting the requested relief will be issued.
Applicants include Neostellar Capital Corp, Neostellar Advisors LLC, Magnetar Financial LLC, Magnetar Financial (UK) LLP, MCP Investing LLC and vehicles identified in Schedule A and Schedule B.

Source document

0:15

DOJ Criminal Division Source document ↗

United States DOJ Criminal Division Financial Crime ✓ 13 claims 26 Oct 2026

Former Eminem studio employee pleads guilty to criminal copyright infringement

A Justice Department release details the guilty plea of a former employee of musician Marshall Mathers who copied and sold unreleased studio recordings. The case illustrates how insider access to proprietary digital assets, not just financial data, falls within federal computer crime and intellectual property enforcement.

Joseph Strange, 48, of Holly, Michigan, pleaded guilty to criminal infringement of copyright in the Eastern District of Michigan.
Court documents say Strange sold and transmitted 10 or more unauthorized music files between July and August 2024 for approximately $50,000.
Streaming provider data showed the infringing files had been accessed more than eight million times as of November 2025.
The government estimates the infringement amount of the stolen files at at least $750,000.
Strange is scheduled to be sentenced on Jan. 27, 2027, and faces a maximum penalty of five years in prison.

Source document

play

DOJ Criminal Division Source document ↗

United States DOJ Criminal Division Governance & Accountability ✓ 13 claims 26 Oct 2026

Utah man indicted over alleged synagogue bomb plot, CSAM found

This briefing covers a federal indictment out of Utah charging a 22-year-old man with attempting a hate crime and explosives offenses after online threats against a synagogue led investigators to recover pipe bombs, rifles and alleged child sexual abuse material. Compliance and government affairs teams tracking DOJ Civil Rights Division enforcement priorities will want the charge detail and procedural timeline.

A federal grand jury in Salt Lake City indicted Skyler AJ Rose, 22, of Ogden, Utah, on Oct. 21 on multiple federal charges.
Charges include possession of an unregistered destructive device, threat to kill and injure persons and destroy a building with an explosive, and attempting to commit a hate crime.
Law enforcement recovered six improvised explosive pipe bombs, one inert device, explosive precursors, two rifles and ammunition during a search of Rose's residence.
A subsequent search of Rose's cellphone allegedly revealed he searched for a nearby synagogue in November 2025 and that the phone contained cached images depicting child sexual abuse material.
Rose's initial appearance was scheduled for Oct. 23 at the Orrin G. Hatch U.S. Courthouse in Salt Lake City.

Source document

0:15

CISA Advisories Source document ↗

United States CISA Advisories AI, Technology & Data ✓ 22 claims 26 Oct 2026

CISA flags hard-coded credentials in end-of-life Johnson Controls EasyIO FG

CISA republished a Johnson Controls advisory covering two vulnerabilities in the EasyIO FG building-automation controller that could hand an attacker full control of the device. Because the product line is end-of-life, no patch is coming. For anyone running these controllers in operational-technology estates, the only remedy is network isolation now and replacement later.

Two vulnerabilities, CVE-2026-27872 and CVE-2026-27873, affect EasyIO FG firmware version 2.0b52 and earlier, each scored CVSS v3.1 7.7 and CVSS v4 7.2.
Johnson Controls will issue no firmware patch because the EasyIO FG Series is end-of-life and end-of-support and the source code is no longer available.
Users are advised to migrate to a supported current-generation product such as the EasyIO Neo R1 Series.
CISA lists extensive interim mitigations including network isolation, VLAN segmentation, no internet exposure and disabling insecure services such as Telnet.
CISA reports no known public exploitation targeting these vulnerabilities, which have high attack complexity and are not exploitable remotely.

Source document

play

DOJ Criminal Division Source document ↗

United States DOJ Criminal Division Financial Crime ✓ 16 claims 26 Oct 2026

Virginia senator indicted over alleged marijuana enterprise and bribery scheme

The Justice Department has indicted a sitting Virginia state senator and six co-defendants, alleging she led a family-run marijuana distribution and money laundering operation while using her legislative position to shield it from scrutiny. This item sets out what the indictment alleges, who is charged, and the scale and duration of the conduct described.

An eight-count indictment charges seven defendants, including Senator Lillie Louise Lucas, 82, of Portsmouth, Virginia.
FBI Director Kash Patel described the alleged scheme as spanning five years and worth an estimated $4.5 million.
The indictment alleges acquisition and distribution of 100 kilograms or more of marijuana and supervision of laundering proceeds.
Lucas allegedly paid $750,000 in August 2022 for a 100% stake in a shell holding company tied to a co-conspirator's expected recreational marijuana license.
On May 6, FBI agents executed search warrants at The Cannabis Outlet and The CBD Shoppe, recovering marijuana and firearms at both locations.

Source document

play

NCSC UK Source document ↗

United Kingdom NCSC UK Financial Crime ✓ 12 claims 26 Oct 2026

NCSC issues alert after ASOS customer data accessed in cyber incident

The NCSC has published an alert on a cyber incident affecting ASOS, after customers received an unauthorised push notification. The retailer says personal data was accessed but believes payment and password data were not. This briefing covers what ASOS has disclosed, who the NCSC says is affected, and the recommended steps for individuals.

ASOS customers received an unauthorised push notification from the company on Tuesday 6 October.
ASOS has said names and contact details of customers have been accessed in the incident.
ASOS has said it does not believe payment card information or account passwords were affected.
The NCSC advises all ASOS customers to assume they are affected, even if they did not receive the notification.
The NCSC lists six recommended actions: confirm you're affected, watch for scams, update vulnerable passwords, review account activity, recover compromised accounts, and check for wider exposure.

Source document

play

CISA Advisories Source document ↗

United States CISA Advisories AI, Technology & Data ✓ 23 claims 26 Oct 2026

CISA warns of critical buffer overflow in Savannah lwIP SMTP client

CISA has published an advisory for a critical vulnerability in the Savannah lwIP SMTP client used in industrial control systems across the energy and water sectors. The item covers the flaw's severity, affected version, and the patch now available for remediation.

CVE-2026-15340 affects Savannah lwIP SMTP client version 2.2.1 and carries a CVSS v3.1 base score of 9.8, rated critical.
The flaw is a classic buffer overflow (CWE-120) caused by the SMTP client not checking the size of inputs.
The product is deployed worldwide across the energy and water and wastewater systems sectors, per CISA's background notes.
A fix is available as patch_125_smtp_txbuf.diff and as git commit 614420f82c8729d070e01464c0dddb3c9525c772.
Reporter xchglabs disclosed the vulnerability directly to Savannah and published only after the patch was released.

Source document

0:15

DOJ Criminal Division Source document ↗

United States DOJ Criminal Division Financial Crime ✓ 16 claims 26 Oct 2026

Former US official pleads guilty to $194 million fraud using fake spy program

A federal employee with top-level security clearance has admitted to one of the larger insider fraud cases against the US government in recent memory, using a fictitious classified program to extract funds later converted into gold and luxury assets. This briefing covers the plea, the forfeiture terms and what remains unresolved as sentencing approaches.

Rush fraudulently obtained approximately $193,590,400 in US government funds by creating fictitious government authorities, including a fabricated Special Access Program.
An FBI search of Rush's residence on May 19, 2026 recovered 298 gold bars, approximately $2,106,550 in cash and €104,795.
The gold bars had cost the government approximately $46 million to acquire, and Rush directed approximately $145 million in wire transfers toward luxury purchases.
Under the plea agreement, Rush will forfeit the gold bars, cash, fraudulently obtained properties, 30 watches and two 2026 BMW Alpina vehicles, one valued at approximately $172,000.
Rush is scheduled for sentencing on January 28, 2027 and faces a maximum of 20 years in prison, three years of supervised release, forfeiture, restitution and a fine.

Source document

play

UK Competition and Markets Authority Source document ↗

United Kingdom UK Competition and Markets Authority Governance & Accountability ✓ 20 claims 26 Oct 2026

CMA to review £401.2m Defra subsidy for Canal & River Trust

The CMA's Subsidy Advice Unit has opened a referral into a proposed £401.2 million Defra subsidy to the Canal & River Trust, covering 2027 to 2037. This briefing covers the administrative timetable, the subsidy's structure and policy objectives, and how interested parties can make submissions.

The proposed subsidy totals £401.2 million, paid to the CRT over the period 2027 to 2037.
The initial grant in 2027 to 2028 is £49.99 million, tapering downwards by 5% each subsequent year to £31.51 million in nominal terms by 2036 to 2037.
Third-party submissions on the Assessment of Compliance are due by 19 October 2026.
The SAU's report to Defra is due for publication on 16 November 2026, within a 30 working day reporting period that began on 6 October 2026.
The CRT manages around 2,000 miles of inland waterways across England and Wales and employs around 1,600 people.

Source document

play

Bank of England Publications Source document ↗

United Kingdom Bank of England Publications Prudential & Capital ✓ 25 claims 26 Oct 2026

BoE balance sheet shows £855bn total assets as at 30 June 2025

This is the Bank of England's quarterly consolidated balance sheet, published with a standard five-quarter lag, covering the position as at 30 June 2025. It sets out sterling and foreign currency assets and liabilities in full, giving compliance and treasury teams a reference point for the Bank's balance sheet size and composition at that date.

Total assets and total liabilities both stood at £855,389mn as at 30 June 2025.
Reserves balances were the largest liability item at £681,248mn.
The loan to the Asset Purchase Facility was the largest asset item at £622,521mn.
TFSME loans stood at £83,000mn and notes in circulation at £93,055mn.
The balance sheet is published quarterly and reflects data for five quarters earlier than the publication date.

Source document

play

Federal Register — NCUA Source document ↗

United States Federal Register — NCUA Prudential & Capital ✓ 30 claims 26 Oct 2026

NCUA proposes removing outdated share insurance rule for state charter conversions

NCUA has proposed deleting a regulatory provision it describes as outdated and duplicative, covering how a federal credit union keeps federal share insurance after converting to a state charter. The agency says the actual process is now governed by its Chartering and Field of Membership Manual, not the regulation it wants to remove. Comments close December 21, 2026.

NCUA proposes to remove and reserve 12 CFR 741.7, which requires regional director approval for continued federal share insurance after an FCU converts to a state charter.
The agency says it inadvertently failed to make conforming changes to section 741.7 when it transferred approval authority to the Office of Consumer Financial Protection and Access in 2016 and then to the Office of Credit Union Resources and Expansion in 2017.
Converting credit unions must now submit requests to CURE rather than the regional director, per chapter 4 of NCUA's Chartering and Field of Membership Manual.
Comments on the proposal, docketed as NCUA-2026-1887, must be received by December 21, 2026.
OIRA has determined the proposal is not a significant regulatory action under Executive Order 12866, and NCUA certifies it would not significantly affect small credit unions.

Source document

0:15

DOJ Criminal Division Source document ↗

United States DOJ Criminal Division Governance & Accountability ✓ 20 claims 26 Oct 2026

DOJ finds Ohio State medical school discriminated against white and Asian applicants

The Justice Department's Civil Rights Division has issued investigative findings against Ohio State University College of Medicine, alleging race discrimination in admissions to its 2023, 2024 and 2025 classes. The findings cite Title VI and the Supreme Court's SFFA decision, and set out the enforcement path: settlement negotiations first, litigation if those fail. Federally funded institutions should read this as the template.

DOJ found OSU Med discriminated against white and Asian applicants for its 2023, 2024 and 2025 incoming classes in violation of Title VI and SFFA.
Black applicants who were screened and interviewed were about 2.8 times as likely to be admitted as Asian applicants with equal credentials.
A 'side door' pathway admitted some applicants without a screener score or interview; in 2024 and 2025 combined, black applicants were four times as likely to be admitted as white applicants, and no Asian applicants were admitted.
The Department will pursue settlement negotiations where it finds a violation and will file suit if those efforts fail.

Source document

play

Federal Register — NCUA Source document ↗

United States Federal Register — NCUA Prudential & Capital ✓ 16 claims 26 Oct 2026

NCUA proposes scrapping special reserve rule for nonconforming investments

NCUA has proposed removing a decades-old rule requiring state-chartered, federally insured credit unions to hold a special reserve against nonconforming investments. The agency argues GAAP changes have made the reserve functionally obsolete. Comments close December 21, 2026, and the Board is soliciting views on possible alternatives including risk-weighting.

Comments on the proposed rule are due by December 21, 2026, via docket NCUA-2026-1886.
The Board states only seven FISCUs currently report a special reserve for nonconforming investments.
The proposal would remove 741.3(a), redesignating paragraphs (b) through (g) as (a) through (f).
Section 702.104(b)(1)(ii), which includes the appropriation for non-conforming investments in risk-based capital, would be struck and subsequent paragraphs redesignated.
OIRA has determined the proposed rule is not a 'significant regulatory action' under Executive Order 12866.

Source document

play

Federal Register — NCUA Source document ↗

United States Federal Register — NCUA Governance & Accountability ✓ 17 claims 26 Oct 2026

NCUA proposes dropping hard-copy mandate for share insurance notices

A proposed rule would rewrite 12 CFR 745.13, the NCUA regulation requiring federally insured credit unions to notify members about share insurance coverage. The change removes the prescribed hard-copy methods in favor of letting each credit union choose its own notification approach. Comments close December 21, 2026.

The proposed rule would revise 12 CFR 745.13 to require only that each FICU 'provide notice to its members concerning NCUA insurance coverage,' removing the mandate to stock hard copies.
NCUA intends to discontinue the 64-page 'Your Insured Funds' brochure and update its share insurance coverage website as the authoritative resource.
Comments on docket NCUA-2026-1888 must be received by December 21, 2026, via regulations.gov, mail, or hand delivery to the Secretary of the Board.
OIRA determined the proposal is not a 'significant regulatory action' under Executive Order 12866 and expects it to qualify as a deregulatory action under Executive Order 14192.
NCUA certifies the rule will not have a significant economic impact on a substantial number of small credit unions, defined as those under $100 million in assets.

Source document

play

DOJ Criminal Division Source document ↗

United States DOJ Criminal Division Conduct & Consumer ✓ 15 claims 26 Oct 2026

Arizona SARMs dealer sentenced, company ordered to forfeit $1.8m and shut down

A DOJ press release details the sentencing of an Arizona man and his company for illegally selling SARMs, unapproved chemical substances that mimic anabolic steroids. The case shows how federal prosecutors use forfeiture and shutdown orders alongside modest individual prison terms in FDA-adjacent enforcement actions.

Jeffrey McIndoo of Phoenix, Arizona was sentenced to four months in prison and a $1,000 fine.
SARMS Pharm LLC pleaded guilty to conspiracy to smuggle SARMs from China into the United States.
Between 2017 and 2022, SARMS Pharm earned gross profits of at least $3.5 million selling SARMs.
Judge Sharad H. Desai ordered SARMS Pharm to cease operations and forfeit $1.8 million in proceeds.
FDA's Office of Criminal Investigations investigated the case, which was prosecuted by the Civil Division's Enforcement & Affirmative Litigation Branch.

Source document

0:15

DOJ Criminal Division Source document ↗

United States DOJ Criminal Division Financial Crime ✓ 25 claims 26 Oct 2026

DOJ denaturalizes two citizens for concealing passport fraud and money laundering

The Justice Department announced two denaturalization judgments entered in October 2026, stripping citizenship from a Nigerian-born woman who used a stolen identity for passport fraud and a Cuban-born woman who concealed a money laundering conspiracy. The releases detail the underlying fraud, prior criminal convictions, and the civil litigation timeline that led to consent judgments revoking naturalization in both cases.

A California federal court revoked Vivian Chike Obichere's citizenship on Oct. 13 after finding she illegally procured it.
Obichere used the identity of a U.S. citizen, 'C.C.O.', to fraudulently obtain a passport in 1992 and renewed it in 2002 and again attempted renewal in 2012.
She was convicted in 2015 of False Statement in Application and Use of Passport in the Northern District of California.
A Florida federal court revoked Milagros Marileisis Acosta Torres's citizenship on Oct. 14 over a concealed money laundering conspiracy.
Acosta Torres was convicted in 2020, sentenced to six months in prison, and ordered to pay nearly $150,000 in restitution.

Source document

play

American Bankers Association — newsroom Source document ↗

United States American Bankers Association — newsroom Conduct & Consumer ✓ 10 claims 26 Oct 2026

JD Power survey finds bank servicers beat mortgage-only sites on satisfaction

A JD Power survey compares digital customer experience scores for bank-affiliated loan servicers against mortgage-focused servicers, highlighting the role of app and website design in customer retention. Relevant for mortgage servicing and digital banking teams benchmarking channel performance.

Bank servicer apps averaged 736 out of 1,000 in satisfaction, compared with 680 for mortgage-focused servicer apps.
Bank servicer websites scored 740 versus 704 for mortgage-focused servicer websites.
92% of bank servicer website users and 91% of app users said they would continue using the channel when account management was easy and the layout organized.
Those continuation rates fell to 59% and 54%, respectively, when neither condition was met.
JD Power's Jon Sundberg said retail banking app and website best practices are translating into the mortgage servicing space.

Source document

0:15

ECB Banking Supervision Source document ↗

European Union ECB Banking Supervision Prudential & Capital ✓ 20 claims 26 Oct 2026

ECB to review 12,000-strong stock of supervisory measures in October refocus

In a Vienna panel contribution, ECB Vice-Chair of the Supervisory Board Frank Elderson sets out how banking supervision is recalibrating its follow-up on findings and measures. The piece explains the tiered approach introduced in 2025, a refocusing exercise starting mid-October, and what changes for banks carrying low-severity findings. It matters because it signals where supervisory pressure will concentrate and where it will ease.

The stock of outstanding supervisory measures across significant banks rose to around 12,000 by the end of 2025, roughly 100 per bank on average.
In 2025 the ECB closed 1,200 more measures than it created, and the stock fell by a further 600 in 2026.
From mid-October a refocusing exercise will review the accumulated stock against each weakness's risk profile, severity, prudential relevance and remediation status.
The least severe F1 findings will in future be communicated as supervisory observations rather than generating measures, and low-severity F2 findings may be closed where further assessment is not warranted.
Mandatory verification of remediation by internal audit or internal validation will be removed for low-severity F1 or F2 findings related to internal models.

Source document

play

European Central Bank Source document ↗

European Union European Central Bank Sustainability ✓ 20 claims 26 Oct 2026

ECB's Elderson calls climate and nature degradation a systemic macroeconomic risk

Frank Elderson, ECB executive board member and vice-chair of the Supervisory Board, used a keynote at the Green Swan 2026 Conference in Manila to argue that climate and nature risks sit squarely within the ECB's price stability and supervisory mandate. The speech frames the transition as a competitiveness strategy and identifies regulatory uncertainty and access to finance as the two barriers holding investment back.

Elderson argued that climate and nature risks affect productivity, growth, inflation and financial stability, placing them within the ECB's price stability and banking supervision mandate.
ECB research cited in the speech suggests severe water scarcity could put up to 24% of euro area output at risk, while nearly 12% of output and more than 60% of loans face flood risk from insufficient protection.
He named two barriers to transition investment: broad political, economic and regulatory uncertainty, and access to finance, estimating additional green investment needs in the hundreds of billions of euros per year.
The July 2026 euro area bank lending survey showed banks easing credit standards for transitioning firms but tightening for high-emission firms without credible transition plans.
Elderson warned against backtracking on legislative commitments on which firms have based long-term investment decisions.

Source document

0:15

Bank of England Source document ↗

United Kingdom Bank of England Markets & Infrastructure ✓ 14 claims 26 Oct 2026

BoE money markets committee launches 2027 review of UK code

Minutes from the Bank of England's Money Markets Code Sub-Committee cover attestation numbers, governance housekeeping and the timetable for the next review of the UK Money Market Code. Relevant for firms active in unsecured deposits, funding, securities lending and repo markets that track voluntary code adherence and settlement infrastructure developments.

Nine firms attested to the UK Money Market Code in 2026, including two banks since the June 2026 meeting.
234 firms have signed the Statement of Commitment since the Code launched in April 2017, with no withdrawals to date.
The Committee asked the secretariat to analyse the potential population of in-scope firms to improve targeted promotion of the Code.
A full Code review will begin in October 2026, with an updated version due for publication in 2027, following the last update in June 2024.
The Committee is monitoring Euroclear UK & Ireland's contingency arrangements for a CREST outage, known as 'mini-CREST', and its implications for gilt and repo settlement.

Source document

play

Federal Reserve Speeches Source document ↗

United States Federal Reserve Speeches Prudential & Capital ✓ 20 claims 26 Oct 2026

Fed restructures bank supervision into five regions, cites committee gridlock

Bowman's speech at the Community Banking Research Conference lays out structural changes to Federal Reserve bank supervision, including a shift to five supervisory regions and continued work on Regulation O, asset thresholds and the CAMELS rating system. It matters for banks tracking how supervisory accountability and tailoring rules are being redrawn.

The Federal Reserve will realign bank supervision into five regions, each led by a regional leader accountable for supervisory activity, following state rather than Reserve Bank District boundaries.
In July 2026 the Board proposed revisions to Regulation O, which governs credit extensions to bank insiders and has not been comprehensively updated since 1979.
Later this year the Board will consider updates to fixed-dollar asset thresholds with a mechanism to adjust them every five years, and separately consider changes to the $10 billion community bank definition and large bank tailoring framework.
The FFIEC is working to finalize revisions to the CAMELS rating system so the Management rating no longer singularly drives the composite rating.
The restructuring follows the Starling Advisory Group's preliminary report, released last month, on the failure of Silicon Valley Bank, which identified a mismatch between supervisory authority and accountability.

Source document

0:15

Washington State DFI Source document ↗

United States Washington State DFI Conduct & Consumer ✓ 11 claims 26 Oct 2026

Washington securities regulator orders refund over unregistered adviser business

Washington's Division of Securities settled a case against Prasad Anguluri and Innovative Investing Group Inc. over an unregistered investment adviser operation that ran for roughly three years. The consent order is notable less for its size than for a finding that the respondents lied to investigators about charging fees while continuing to collect them. This covers who is bound, what they agreed to pay, and why the false statement matters.

The consent order (S-23-3527-26-CO01) was entered on October 20, 2026 against Prasad Anguluri and Innovative Investing Group Inc.
The respondents operated an unregistered investment adviser business from approximately June 2022 through at least May 2025, receiving a net total of approximately $44,000 from 33 clients.
The order finds the respondents misled the Division by falsely claiming they were not charging for services, when they had been charging for at least the prior nine months and continued afterward.
The respondents agreed to refund $43,708.60 to customers and to pay fines of $2,500 and investigative costs of $1,500.
The matter follows an earlier Statement of Charges, S-23-3527-25-SC01.

Source document

play

Companies House Source document ↗

United Kingdom Companies House Digital Assets ✓ 11 claims 26 Oct 2026

Companies House publishes accessibility statements for its identity verification services

Companies House has published accessibility statements for the service subdomains it runs, including two identity-related services and its webchat. The page sets out what each statement must cover. It is a compliance and transparency artefact rather than a rule change, but it signals which Companies House digital services are now live and user-facing.

Companies House has published accessibility statements for three named services, including two identity verification services and the Companies House Webchat.
Each statement records how accessible the service is, how to report problems, when it was prepared, and when the service was last tested.
The page was first published on 9 December 2025, with a Welsh translation added on 8 January 2026.
An English and Welsh accessibility statement for the Webchat service was added on 6 October 2026.

Source document

play

ISDA Source document ↗

United States ISDA Digital Assets ✓ 17 claims 26 Oct 2026

ISDA chief urges US regulators to ease rules blocking tokenized collateral

ISDA CEO Scott O'Malia opened the association's Digital Assets Forum in Washington with a policy-heavy address on tokenization and 24/7 trading. The speech sets out specific regulatory obstacles ISDA wants prudential regulators to fix and flags where its own documentation and standards work is heading.

The CFTC removed an asset transfer restriction in July that had made most money market funds ineligible as derivatives collateral, O'Malia said.
Tokenized assets and stablecoins currently face punitive capital charges under Basel Committee on Banking Supervision standards, which O'Malia said prevents banks from holding them on balance sheet.
ISDA and Global Digital Finance published a report identifying legal, regulatory and operational challenges to moving tokenized money market funds through the US collateral ecosystem.
ISDA has just published a new paper examining how its documentation can support tokenized money market funds as derivatives collateral.
O'Malia called for segregation rules, eligible depository rules, non-cleared margin rules and haircut methodologies to be reviewed to accommodate tokenized collateral.

Source document

play

BIS Press Releases Source document ↗

United States BIS Press Releases AI, Technology & Data ✓ 16 claims 26 Oct 2026

Fed's Waller says AI agents now drive half of FRED data site traffic

Federal Reserve Governor Christopher Waller used a speech at the St. Louis Fed's FRED Con 2026 to describe how artificial intelligence is reshaping use of the Fed's FRED economic data platform, including a surge in AI-driven traffic and a new connector tool for AI agents. Compliance and data governance teams tracking how central banks manage AI-sourced data access will find the detail on misattribution risk relevant.

FRED traffic is presently growing 150 percent a year, with most of that growth attributed to AI and bots.
About half of visits to FRED currently come from AI agents retrieving data rather than human visitors.
FRED staff have sometimes observed AI agents misattributing data to FRED instead of the original source in testing.
The Fed has introduced the FRED MCP Connector, using the Model Context Protocol, to let users link AI agents of their choice to FRED data.
Users seeking certain data published by the Federal Reserve Board will soon be routed to FRED and its tools, Waller announced.

Source document

play

DOJ Criminal Division Source document ↗

United States DOJ Criminal Division Sustainability ✓ 12 claims 26 Oct 2026

Fourth Circuit affirms Army Corps CWA permit for Charleston's Cainhoy Plantation development

The U.S. Court of Appeals for the Fourth Circuit affirmed a Clean Water Act Section 404 permit issued by the Army Corps of Engineers for a large residential development near Charleston. The published decision turned on how the Corps evaluated alternatives and reduced wetlands impacts, and it signals how NEPA-adjacent permitting records will be tested on appeal when development and conservation claims collide.

The Fourth Circuit on October 23, 2026 affirmed the Corps' Clean Water Act Section 404 permit for the Cainhoy Plantation development in Charleston.
The permit covers residential and mixed-use development on portions of a 9,076-acre property, with thousands of acres to be permanently conserved.
The Corps reduced projected wetlands impacts by nearly 90%, from 1,820 acres to 181.5 acres, after years of analysis.
The court found the Corps evaluated numerous alternatives and concluded none offered a practicable path to needed housing with fewer environmental impacts.
Attorneys from ENRD's Environmental Defense, Natural Resources, Wildlife and Marine Resources, and Appellate Sections handled the litigation.

Source document

0:15

International Association for Trusted Blockchain Applications Source document ↗

European Union International Association for Trusted Blockchain Applications Digital Assets ✓ 20 claims 26 Oct 2026

INATBA paper separates blockchain credential verification from institutional recognition

INATBA's Education Working Group has published a knowledge paper examining why technically verifiable micro-credentials are not automatically recognised by employers or academic institutions. It sets out a five-part framework for credential value and surveys EU digital identity and credential infrastructure. Useful background for compliance and education teams tracking EU digital identity wallet rollout and blockchain-based credentialing standards.

The paper applies the EU Council Recommendation of June 2022, under which universities, vocational institutes, employers and industry associations can all design and issue micro-credentials.
It proposes a five-part framework for credential value: credibility, evidence, verifiability, recognition and relevance.
It references the W3C Verifiable Credentials Data Model v2.0 as a trusted standard for cryptographic authentication of credential records.
It discusses upcoming European Digital Identity Wallets under Regulation EU 2024/1183, citing Germany's planned d-you wallet as an example.
It cites empirical research finding micro-credentials boost earnings by approximately 9% when aligned with specific job requirements.

Source document

0:15

Regulus Weekend Edition Source document ↗

United States Regulus Weekend Edition Governance & Accountability ✓ 19 claims 25 Oct 2026

A clearing house with no members and a ban broken on a livestream

The lighter side this week is a comedy of timing rather than misconduct. A clearing house writes default rules before it has a single member, a banned pharmaceutical executive is accused of broadcasting the very trading he is forbidden to do, and a federal department finalises a paperwork estimate its own commenters say does not add up. None is a scandal; each misses its own target.

CME Securities Clearing filed SR-CMESC-2026-011 to codify default-management procedures while stating it currently has no Members or Users and has received no comments, with the comment window closing 12 November 2026.
The FTC and seven states moved on 13 October 2026 to hold Martin Shkreli in civil contempt of his 2022 lifetime pharmaceutical ban, citing his livestreamed claim that he was teaching viewers how to trade and invest in biotech.
The FTC alleges Shkreli has traded in pharmaceutical stocks of at least 60 companies since his May 2022 release and seeks a fine equal to trading profits plus prejudgment interest with no offset for losses, on a Commission vote of 1-0.
The State Department finalised a 600,000-hour recordkeeping collection and declined to withdraw it after the Council for Global Equality flagged a 52,500-hour gap and an $85 million cost-assumption discrepancy, with comments due 25 November 2026.

Source document

0:15

Regulus Weekend Edition Source document ↗

Global Regulus Weekend Edition Prudential & Capital ✓ 20 claims 25 Oct 2026

Live cyber duties strip firm discretion now as PRA, Fed and ECB defer relief for years

Two of the week's measures bound firms the moment they landed: the OCC's two-hour cyber notification deadline and the FBI's PHP patch order. The reforms that drew the headlines, the PRA's threshold indexation, the ECB's digital euro and the Fed's supervisory redesign, are dated years out or wait on legislation. The gap between the two is this week's story.

The OCC's Rule 213 change (SR-OCC-2026-010) sets a firm two-hour cyber notification deadline for clearing members and deletes self-assessment language.
The FBI's IC3 PSA tells firms to patch two PHP flaws, CVE-2026-109618 and CVE-2026-109619, or take affected systems offline.
The PRA's CP13/26 would index 128 regulatory thresholds to nominal UK GDP, with the first update on 1 July 2031; it closes 7 February 2027.
The ECB plans a digital euro pilot in 2027 and rollout from 2029, contingent on an EU regulation adopted this year.
Four US comment windows close between 3 November and 28 December, and the SEC must decide NYSE Texas's Rule 24 by 30 November.

Source document

3:06

Regulus Weekend Edition Source document ↗

Global Regulus Weekend Edition Prudential & Capital ✓ 19 claims 25 Oct 2026

OCC cyber clock and FBI patch order bind now as four comment windows close by December

The week ahead is governed by sequencing rather than any single rule. Two measures bind immediately: the OCC's two-hour cyber notification deadline for clearing members and the FBI's order to patch two PHP flaws or take systems offline. Four US comment windows then close in order through 28 December, the SEC must decide NYSE Texas's Rule 24 by 30 November, and the PRA, Fed and ECB relief that drew headlines is dated to 2027 and beyond.

The OCC's two-hour cyber notification deadline under SR-OCC-2026-010, filed 8 October 2026, is in force for clearing members and removes self-assessment language, with a disciplinary process attached to lateness.
Four US comment windows close in sequence: Cboe BZX's IEX fee (File SR-CboeBZX-2026-083) on 3 November, CMESC's default-management rule on 12 November, the State Department's PHFFA collection on 25 November and Treasury's garnishment-notice estimate on 28 December 2026.
The SEC must approve, disapprove or open proceedings on NYSE Texas's proposed Rule 24 by 30 November 2026, having extended review after Amendment No. 1 superseded the original filing on 5 October.
The PRA's CP13/26, proposing automatic indexation of 128 regulatory thresholds, closes on 7 February 2027, but its first indexation update does not operate until 1 July 2031.
The ECB plans a digital euro pilot using real transactions in 2027 and rollout from 2029, both contingent on EU legislation the ECB hopes will be adopted by year-end.

Source document

3:01

Regulus Weekend Edition Source document ↗

United States Regulus Weekend Edition Financial Crime ✓ 20 claims 25 Oct 2026

Licensed bank sat at the chokepoint of a $36.9m crypto laundering chain

US enforcement did the week's financial crime work. A money laundering extradition located the laundering failure at a regulated bank's conversion desk, a telemedicine owner was sentenced for a $46.2m Medicare scheme built on overlapping ownership, and the FTC asked a court to hold Martin Shkreli in contempt of a lifetime industry ban. Three cases, three distinct control failures worth studying.

Zheng Zhao faces up to 20 years on a money laundering conspiracy charge after more than $36.9m from 174 US victims was routed through a Deltec Bank account and converted to Tether, with eight co-conspirators already pleaded guilty, two sentenced to 51 and 46 months for unlicensed money transmission.
Christopher Harwood was sentenced to 20 years for a $46.2m Medicare fraud and ordered to pay $17,942,402 in restitution and $10,431,463 in forfeiture, having owned both the telemedicine front end that generated orders and the DME companies that billed them.
The FTC and seven states filed on 13 October 2026 to hold Martin Shkreli in civil contempt of his 2022 lifetime pharmaceutical ban, alleging trading in at least 60 pharmaceutical stocks since his May 2022 release.
The Shkreli motion seeks a fine equal to trading profits plus prejudgment interest with no offset for losses, a coercive construction aimed at compliance rather than net enrichment.

Source document

0:15

Regulus Weekend Edition Source document ↗

Global Regulus Weekend Edition Prudential & Capital ✓ 30 claims 25 Oct 2026

Cyber rules bind now while PRA and ECB relief waits until 2031 and 2029

The week split cleanly in two: obligations that strip firms of discretion landed immediately, led by the OCC's two-hour cyber reporting clock and an FBI order to patch or disconnect, while the relief that drew the headlines, PRA threshold indexation and the ECB digital euro, was dated to 2031, 2029 or a Brussels vote. Four US comment windows close by December. A $36.9m laundering case sharpened a stablecoin on-ramp lesson.

OCC's SR-OCC-2026-010 sets a firm two-hour cyber notification deadline for clearing members, removes self-assessment language and lets OCC disconnect a member or its third-party service provider.
The FBI's IC3 issued a formal PSA on two PHP core flaws, CVE-2026-109618 and CVE-2026-109619, telling firms to patch immediately or take affected systems offline.
The PRA's CP13/26 would index 128 regulatory thresholds to nominal GDP but does not make its first update until 1 July 2031; the consultation closes 7 February 2027.
Four US comment windows close in sequence: Cboe BZX's IEX fee on 3 November, CMESC's default rule on 12 November, the State Department's PHFFA collection on 25 November and Treasury's garnishment notice on 28 December.
DOJ arraigned Zheng Zhao over a scheme that routed more than $36.9m through a single Deltec Bank account, converted to Tether and sent to a Cambodia-controlled wallet, with 174 US victims.

Source document

0:15

European Central Bank Source document ↗

European Union European Central Bank Digital Assets ✓ 21 claims 25 Oct 2026

ECB targets 2027 digital euro pilot, 2029 rollout if law passes this year

An interview with ECB Executive Board member Piero Cipollone sets out the digital euro's timeline, design choices and rationale, covering holding limits, offline functionality, distribution through banks and the project's link to European payments sovereignty. Useful for compliance and payments teams tracking when and how the instrument will need to be integrated.

A pilot based on real transactions by ECB and national central bank staff is planned to launch in 2027.
If the EU regulation is adopted by year-end, the digital euro could be rolled out as early as 2029.
Holdings of digital euro in a wallet will be capped, but there will be no limit on payments; amounts exceeding the balance can be drawn automatically from a linked current account.
The digital euro will support offline payments via device-to-device transfer, functioning during power cuts or in areas without internet connectivity.
36 market operators, including seven from Italy, are already collaborating in preparatory work, alongside more than 70 operators that participated in earlier innovation programmes.

Source document

0:15

Financial Stability Board Source document ↗

Global Financial Stability Board Governance & Accountability ✓ 11 claims 25 Oct 2026

FSB Sub-Saharan Africa group meets in Maseru on AI, climate and vulnerabilities

A readout from the FSB's Regional Consultative Group for Sub-Saharan Africa, covering its 23-24 October 2026 meeting in Maseru. Useful for compliance and government affairs teams tracking which financial stability themes regional regulators are feeding into the FSB's global agenda.

The meeting took place on 23-24 October 2026 in Maseru, Lesotho, hosted by the Central Bank of Lesotho.
The group is co-chaired by Lesetja Kganyago, Governor of the South African Reserve Bank, and Denny Kalyalya, Governor of the Bank of Zambia.
Agenda items included climate-related data gaps, insurance protection gaps, and the cybersecurity and financial stability implications of AI and quantum computing.
Members discussed the applicability of the FSB's proposed principles on regulatory and supervisory modernisation to the Sub-Saharan African context.
Members agreed on regional priorities and key messages to put to the FSB Plenary ahead of the FSB's 2027 work programme.

Source document

0:15

Federal Register — State Department Source document ↗

United States Federal Register — State Department Governance & Accountability ✓ 16 claims 25 Oct 2026

State Department finalizes 600,000-hour recordkeeping rule for aid recipients, pushes back on NGO group's cost objections

The State Department has submitted a new information collection, tied to its Protecting Human Flourishing in Foreign Assistance policy, for 30-day public comment before OMB approval. Two advocacy groups challenged the burden estimates and scope during the earlier 60-day comment period; this notice contains the Department's point-by-point response and final position on each objection.

Comments on the proposed collection are due by November 25, 2026, under a 30-day notice following an earlier 60-day notice published April 6, 2026.
The collection applies to an estimated 2,500 respondents, each facing an average 240-hour burden, for a total estimated 600,000 hours.
The Council for Global Equality cited a 52,500-hour gap between the final rules' 652,500-hour estimate and the Notice's 600,000-hour figure, plus a cost assumption gap of $175/hour versus $50/hour.
The Department confirmed that the physical and financial separation requirement applies only to U.S. NGOs, and only when they engage in otherwise prohibited activities funded from another source.
Record retention will follow 2 CFR 200.334, generally three years from the date of the final expenditure report, subject to applicable exceptions.

Source document

0:15

Federal Register — SEC Source document ↗

United States Federal Register — SEC Markets & Infrastructure ✓ 21 claims 25 Oct 2026

SEC opens comment on CMESC default management rule change

The SEC has published for comment a proposed rule change from CME Securities Clearing that rewrites how the clearing agency documents the handling of a Participant default. The amendments add detail on using a third-party liquidation agent and execution brokers, clarify the Risk Management Committee's role, and make administrative fixes. CMESC has no Members or Users yet, so this is framework in advance of operations.

CMESC would amend Section 14.1.1 of its Risk Management Framework to specify that the close-out of a defaulted Participant's portfolio may use a liquidation agent and one or more execution brokers.
The amended framework provides that CMESC may hold an account with an execution broker as principal, receiving back-to-back trades that mirror the liquidation agent's close-out trades to keep a net flat position.
Section 14 would clarify that the Risk Management Committee (CSRMC) provides guidance on the design of default procedures, changing its role from discretionary and advisory.
CMESC states it currently has no Members or Users and has neither received nor solicited written comments on the proposal.
Comments are due by November 12, 2026, and the Commission must approve, disapprove or institute proceedings within 45 days of publication, extendable up to 90.

Source document

0:15

Federal Register — Treasury Source document ↗

United States Federal Register — Treasury Governance & Accountability ✓ 18 claims 25 Oct 2026

Treasury seeks comment on garnishment-notice paperwork burden estimate

A routine Paperwork Reduction Act notice covering the disclosure financial institutions must give account holders when a garnishment order reaches an account receiving federal benefit payments. It extends an existing OMB control number rather than changing the underlying rule. Relevant to institutions that process garnishment orders against accounts with direct-deposited federal benefits.

Written comments on the information collection must be received by Treasury on or before December 28, 2026.
The collection governs notices required under 31 CFR 212.6 when a garnishment order affects an account with directly deposited federal benefit payments.
Treasury estimates 487,750 respondents and 487,750 total annual responses, occurring on occasion upon qualifying garnishment events.
Estimated time per response is 10 minutes per account-holder notice and 5 minutes per child support notice, totalling an estimated 76,688 annual burden hours.
The 2023 supporting statement reports no program changes but describes a revised burden-estimation methodology.

Source document

3:09

DOJ Criminal Division Source document ↗

United States DOJ Criminal Division Financial Crime ✓ 21 claims 25 Oct 2026

Chinese national extradited to US over $36.9m Cambodia-based crypto scam

The Justice Department has brought a Chinese national from the Netherlands to a Los Angeles courtroom over a cryptocurrency investment fraud run from scam centers in Cambodia. The case maps a specific laundering route: US bank accounts to Deltec Bank in the Bahamas, conversion into Tether, and onward transfer to wallets in Cambodia. It shows how the DOJ is pursuing the financial plumbing behind pig-butchering schemes.

Zheng Zhao, 44, was arraigned in the Central District of California after extradition from the Netherlands and faces a maximum of 20 years if convicted.
More than $36.9 million in victim funds moved from US accounts to a single Deltec Bank account in the Bahamas, was converted to Tether, and transferred to a wallet controlled in Cambodia.
The government identified 174 US victims of the fraudulent digital asset investment scheme.
Eight co-conspirators have pleaded guilty, including ShengSheng He and Jingliang Su, sentenced to 51 and 46 months respectively for conspiracy to operate an unlicensed money transmitting business.
Zhao was charged in August 2025 with conspiracy to commit money laundering as part of the Criminal Division's Cyber-Enabled Scam Initiative.

Source document

0:15

Federal Register — SEC Source document ↗

United States Federal Register — SEC Markets & Infrastructure ✓ 13 claims 23 Oct 2026

SEC extends review of NYSE Texas plan to give issuers complimentary products

The SEC has given itself more time to rule on a NYSE Texas proposal to offer certain listed issuers complimentary products and services under a new exchange rule. This is a procedural extension under the Exchange Act, but it signals the Commission wants longer to weigh a filing that was substantially rewritten before the comment window closed. The item matters to anyone tracking exchange listing incentives.

NYSE Texas filed the proposed rule change on 13 August 2026 and Amendment No. 1 on 5 October 2026, which superseded the original filing in its entirety.
The proposal would adopt new Rule 24 under Article 22 of the NYSE Texas Rule Book to offer certain issuers complimentary products and services.
The SEC designated 30 November 2026 as the date by which it will approve, disapprove, or institute proceedings on the filing (File No. SR-NYSETEX-2026-30).
The Commission has received no comments on the proposed rule change.

Source document

0:15

Federal Register — SEC Source document ↗

United States Federal Register — SEC Markets & Infrastructure ✓ 18 claims 23 Oct 2026

OCC proposes two-hour cyber incident reporting deadline for clearing members

The SEC has opened a comment period on OCC's proposed overhaul of Rule 213, its cybersecurity obligations rule for clearing members. The filing replaces the existing 'Security Incident' standard with a new reporting regime carrying a fixed two-hour notification clock and a tiered 'Major' event category triggering OCC's disconnection authority.

Clearing Members must notify OCC in writing no later than two hours after becoming aware of a Clearing Member System Event.
OCC may disconnect a Clearing Member or its Third-Party Service Provider upon declaring a 'Major Clearing Member System Event,' which requires approval from two or more Designated Officers and notification to the Chairman of the Board.
The Cybersecurity Confirmation attestation, required at least every two years and within 180 calendar days of OCC's notice, may now be signed by any authorized senior executive rather than a specifically designated one.
OCC's definition of 'OCC's Systems' is expanded to include established communication channels such as File Transfer Protocols, not only direct connections.
Late notification beyond the two-hour window will be evaluated under OCC's disciplinary process set out in Chapter XII of its Rules.

Source document

0:15

IC3 — FBI Internet Crime Complaint Center Source document ↗

United States IC3 — FBI Internet Crime Complaint Center AI, Technology & Data ✓ 13 claims 23 Oct 2026

FBI warns of critical PHP core flaws enabling remote code execution

The FBI's Internet Crime Complaint Center has issued a public service announcement reiterating warnings about two PHP vulnerabilities that allow remote code execution. The alert gives organizations concrete triage steps, from patching to monitoring to incident reporting, and should be read by anyone running internet-facing PHP infrastructure or vendor products that bundle it.

The PSA follows an initial FBI social media alert issued on October 21 about the same PHP vulnerabilities.
CVE-2026-109618 and CVE-2026-109619 could allow malicious cyber actors to remotely execute code in PHP core.
The FBI recommends organizations take systems offline if an immediate update is not feasible.
Organizations should inventory where PHP runs, prioritizing internet-facing systems and vendor products that bundle PHP.
CISA published related guidance on October 21, 2026, and CERT-EU issued Security Advisory 2026-018.

Source document

0:15

IC3 — FBI Internet Crime Complaint Center Source document ↗

United States IC3 — FBI Internet Crime Complaint Center Governance & Accountability ✓ 21 claims 23 Oct 2026

FBI and USPIS probe suspicious powder letters sent to election officials, media

A joint FBI and US Postal Inspection Service advisory flags a wave of letters containing suspicious substances sent to election offices, Secretaries of State, media organisations and polling companies. The notice sets out immediate handling steps for mailrooms and reporting channels, relevant to any organisation in these sectors reviewing its physical mail intake procedures.

The FBI and USPIS are investigating multiple letters containing suspicious substances mailed to election offices, Secretaries of State, media organisations and polling companies.
No hazardous material has been identified to date, though laboratory testing remains ongoing and all substances should be treated as hazardous.
Mail handlers at election-related locations should use PPE such as a smock or apron, mask, and nitrile gloves.
If an unknown substance is found, personnel should call 911, avoid disturbing the powder, isolate the area, and avoid alcohol-based cleansers or hand sanitizer on exposed skin.
Incidents should be reported to an FBI Election Crimes Coordinator or WMD Coordinator, the FBI tip line (1-800-225-5324), or USPIS at 1-877-876-2455.

Source document

play

Federal Register — SEC Source document ↗

United States Federal Register — SEC Markets & Infrastructure ✓ 19 claims 23 Oct 2026

SEC approves FINRA exemption letting collective trust funds buy IPO shares

The SEC has approved a FINRA rule change exempting certain collective trust funds from restrictions that otherwise bar related persons from buying initial public offering shares. The order explains why FINRA dropped a numeric participant threshold it had originally proposed, and what safeguards remain in its place.

The SEC approved SR-FINRA-2026-007 on October 2, 2026, exempting specified collective trust funds from FINRA Rule 5130 and from the spinning provision in Rule 5131(b).
The exemption applies only if the CTF was not formed or maintained for the specific purpose of permitting restricted persons to invest in new issues.
FINRA removed an originally proposed condition requiring 1,000 or more plan participants and beneficiaries after two commenters said the condition was difficult to administer.
The Commission received two comment letters, from the Coalition of Collective Investment Trusts and the Investment Company Institute, both filed May 1, 2026.
FINRA filed Partial Amendment No. 1 on July 8, 2026, and the Commission instituted proceedings on July 9, 2026 before ultimately approving the filing as amended.

Source document

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

Regulatory heat map

Filtered