Policy & Regulation
Federal Reserve Board announces termination of enforcement action with Allegiant United Holdings, LLC, Nano Financial Holdings, Inc., and Nano Banc (opens Federal Reserve in a new tab)
Federal Reserve Board announces termination of enforcement action with Allegiant United Holdings, LLC, Nano Financial Holdings, Inc., and Nano Banc
SEC Adopts Amendments to Update Definitions of Small Entity for Investment Companies and Investment Advisers (opens SEC in a new tab)
The Securities and Exchange Commission today adopted amendments to the rules that define which registered investment companies, investment advisers, and business development companies qualify as small entities for purposes of the Regulatory Flexibility…
SEC Issues Exemptive Relief from Treasury Clearing Requirements for Certain Inter-Affiliate and Non-U.S. Repo Transactions (opens SEC in a new tab)
The Securities and Exchange Commission took another step forward today to assist broker-dealers and other market participants on the path to central clearing of U.S. Treasury securities by issuing exemptive relief related to inter-affiliate repo…
Federal Reserve Board announces approval of application by The Bank of Nova Scotia (opens Federal Reserve in a new tab)
Federal Reserve Board announces approval of application by The Bank of Nova Scotia
Two Entities Charged in $130 Million Fraud Scheme That Used False SEC Filings to Boost Investor Confidence (opens SEC in a new tab)
The Securities and Exchange Commission today charged two foreign-operated, Colorado-incorporated entities, BG Wealth Sharing Ltd and DSJ Exchange Pty Ltd, for orchestrating a fraud scheme that used false SEC filings to boost confidence in their…
Federal Reserve issues FOMC statement (opens Federal Reserve in a new tab)
Federal Reserve issues FOMC statement
SEC Announces Fiscal Year 2027 Examination Priorities (opens SEC in a new tab)
The Securities and Exchange Commission today announced the Division of Examinations’ Fiscal Year 2027 examination priorities. The annual report identifies key areas of focus as the Division carries out its mission to promote compliance, prevent fraud,…
SEC and AMF Announce Supervisory MOU To Enhance Cooperation for Investment Advisers and Investment Service Providers (opens SEC in a new tab)
The U.S. Securities and Exchange Commission (SEC) and the French Autorité des Marchés Financiers (AMF) announced that they have entered into a Memorandum of Understanding (MOU) designed to facilitate consultation and information-sharing in the…
SEC, FSA Hold Autumn Financial Regulatory Dialogue (opens SEC in a new tab)
The U.S. Securities and Exchange Commission (SEC) and the Financial Services Agency of Japan (FSA) convened the Autumn SEC-FSA Financial Regulatory Dialogue in Tokyo on Oct. 19, 2026.The SEC–FSA Dialogue builds upon longstanding efforts between the two…
SEC Announces Roundtable on Machine-Understandable Data in the Age of Super Intelligence (opens SEC in a new tab)
The Securities and Exchange Commission announced today that it will host a roundtable on November 9, 2026, to discuss the use of machine-understandable data and Super Intelligence (SI) and related risks and costs.“In the age of SI, high-quality…
Federal Reserve Board announces termination of enforcement actions with Gardner Bancshares, Inc. and Small Business Bank (opens Federal Reserve in a new tab)
Federal Reserve Board announces termination of enforcement actions with Gardner Bancshares, Inc. and Small Business Bank
SEC Small Business Advisory Committee to Discuss IPO Modernization and Regulation Crowdfunding (opens SEC in a new tab)
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee announced that it will hold a meeting on Tuesday, October 27, 2026, at 10 a.m. to continue discussing IPO modernization and explore potential policy…
Minutes of the Board's discount rate meetings on August 17, September 9, and September 16, 2026 (opens Federal Reserve in a new tab)
Minutes of the Board's discount rate meetings on August 17, September 9, and September 16, 2026
SEC Proposes Expanding Securities Eligible for Cross Trading by Registered Funds (opens SEC in a new tab)
The Securities and Exchange Commission today proposed amendments to the Investment Company Act “cross-trading rule,” which permits transactions in securities between a registered fund and its affiliates under certain conditions. The proposed amendments…
Federal Reserve Board releases results of the 2025 Survey of Consumer Finances, which provides the public and policymakers with detailed insights into the economic condition of American families (opens Federal Reserve in a new tab)
Federal Reserve Board releases results of the 2025 Survey of Consumer Finances, which provides the public and policymakers with detailed insights into the economic condition of American families
Federal Reserve Board announces enforcement action against American Express Company to address, among other things, the firm’s failure to sufficiently detect and report certain suspicious activity related to money laundering (opens Federal Reserve in a new tab)
Federal Reserve Board announces enforcement action against American Express Company to address, among other things, the firm’s failure to sufficiently detect and report certain suspicious activity related to money laundering
Minutes of the Federal Open Market Committee, September 15-16, 2026 (opens Federal Reserve in a new tab)
Minutes of the Federal Open Market Committee, September 15-16, 2026
SEC Seeks Final Judgment Against Former Western Asset Co-CIO Ken Leech in Cherry Picking Case (opens SEC in a new tab)
The Securities and Exchange Commission today moved for entry of a final judgment by consent against Stephen Kenneth Leech II, the former co-chief investment officer of registered investment adviser Western Asset Management Company LLC, whom the SEC…
SEC to Host Virtual National Compliance Outreach Seminar for Investment Companies and Investment Advisers (opens SEC in a new tab)
The Securities and Exchange Commission’s Compliance Outreach Program announced today that it will host a virtual national seminar for investment companies and investment advisers on November 19, 2026. The purpose of the event is to help chief compliance…
Federal Reserve Board announces approval of application by Isabella Bank Corporation (opens Federal Reserve in a new tab)
Federal Reserve Board announces approval of application by Isabella Bank Corporation