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20 OctTue
  1. SEC: Press Release36

    SEC Signs Regulatory Cooperation MOU with France's AMF to Strengthen Cross-Border Oversight of Investment Advisers and Investment Service Providers

    The U.S. Securities and Exchange Commission (SEC) and France's Autorité des marchés financiers (AMF) announced on October 20, 2026, the signing of a Memorandum of Understanding (MOU) on regulatory cooperation, establishing a framework for cross-border regulatory consultation, collaboration, and information sharing. The MOU covers investment advisers, investment companies, and investment service providers operating in both the U.S. and France and regulated by either authority. It will facilitate AMF-regulated asset management firms conducting business in the U.S. as investment advisers, with the SEC processing new and pending registration applications from relevant firms under this arrangement.

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  2. SEC: Press Release25

    SEC and Japan Financial Services Agency (FSA) Hold Autumn Financial Regulatory Dialogue

    The U.S. Securities and Exchange Commission (SEC) and Japan Financial Services Agency (FSA) held their autumn financial regulatory dialogue in Tokyo on October 19, 2026, led by SEC Commissioner Mark T. Uyeda and FSA Deputy Commissioner for International Affairs MIYOSHI Toshiyuki. The two sides exchanged views on cross-border regulatory topics including recent market developments, public and private market trends, asset management, and regulatory innovation. The next dialogue is scheduled to take place in Washington, D.C. in spring 2027.

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  3. SEC: Press Release26

    SEC Announces Roundtable on Machine-Readable Data in the Age of Superintelligence

    The SEC announced it will host a roundtable on machine-readable data in the age of superintelligence on November 9, 2026, at its Washington, D.C. headquarters. The event will discuss the applications of machine-readable data and superintelligence, as well as related risks and costs. The roundtable is open to the public; in-person attendance is limited, and it will be streamed live on the SEC’s website, with a recording to be made available afterward.

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19 OctMon
  1. Federal Register: CFTC rules and notices49

    CFTC Proposes Further Defining the Inclusion Scope of the 'Swap' Definition

    The CFTC released a proposed rule to further define the inclusion scope of the 'swap' definition and clarify the regulatory boundary of event contracts. This proposal does not further define 'security-based swaps', and the CFTC has sought the opinion of the Board of Governors of the Federal Reserve System on this proposal.

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  2. Federal Register: CFTC rules and notices55

    CFTC Issues Interim Final Rule Excluding Casino-Style Gambling Products from the Swap Definition

    The U.S. Commodity Futures Trading Commission (CFTC) issued an interim final rule to further clarify the 'swap' definition, excluding casino-style gambling products offered under state or tribal law from swap regulatory scope. This rule does not involve matters related to security-based swaps under SEC jurisdiction, and the CFTC has sought the opinion of the Board of Governors of the Federal Reserve System on this rule.

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14 OctWed
  1. SEC: Press Release26

    SEC Small Business Advisory Committee to Discuss IPO Modernization and Regulation Crowdfunding Rules

    The U.S. Securities and Exchange Commission (SEC) Small Business Capital Formation Advisory Committee announced it will hold a public meeting at its Washington D.C. headquarters at 10:00 a.m. on October 27, 2026, to discuss potential policy adjustments for IPO modernization and Regulation Crowdfunding (Reg CF). The meeting will be streamed live on SEC.gov, with the morning session focusing on optimizing IPO processes, communication rules, and analyst coverage support, and the afternoon session evaluating the current Reg CF framework and hearing input from industry experts.

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9 OctFri
  1. SEC: Press Release48

    SEC proposes expanding the range of securities eligible for cross trades by registered funds

    On October 9, 2026, the SEC released a proposed rule to amend Rule 17a-7 on cross trades under the Investment Company Act of 1940, restoring cross-trading permission for most fixed-income securities, while optimizing rule conditions such as pricing and oversight, and requiring registered funds engaging in cross trades to submit aggregated reports on related trading activities. The proposal will be published on SEC.gov and in the Federal Register, with a 60-day public comment period following publication.

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7 OctWed
6 OctTue
  1. SEC: Press Release22

    SEC to Host Virtual National Compliance Outreach Program for Investment Companies and Investment Advisers

    The SEC will host a virtual National Compliance Outreach Program for investment companies and investment advisers on November 19, 2026. No advance registration is required, and the live stream link will be published on SEC.gov on the morning of the event. This event is co-hosted by multiple SEC departments and features panel discussions on topics including information security and operational resilience, registered investment advisers, and private fund advisers, designed to help relevant institutions enhance their compliance capabilities to protect investors.

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5 OctMon
  1. SEC: Press Release22

    SEC Joins Global Financial Regulators to Boost Anti-Fraud Awareness During World Investor Week

    The SEC, together with multiple U.S. and global financial regulators, has issued a joint investor alert during World Investor Week (WIW), warning investors against relationship investment scams and impersonation fraud. This year marks the 10th anniversary of WIW, an initiative launched by the International Organization of Securities Commissions to coordinate global regulatory efforts in investor education and protection. The SEC has also published related educational resources on its investor webpage, available to the public free of charge.

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2 OctFri
  1. SEC: Press Release54

    SEC proposes new rules clarifying crypto asset custody framework for investment advisers and funds

    On October 1, 2026, the SEC released proposed rules and amendments to establish a tailored framework for crypto asset custody by registered investment advisers, registered investment companies, and business development companies. The proposal updates custody rules under the Investment Advisers Act of 1940 and the Investment Company Act of 1940, allowing self-custody of crypto assets under specific circumstances, while permitting state-chartered trust companies to serve as custodians of crypto assets for clients and regulated funds. The public comment period will open for 60 days after the proposal is formally published in the Federal Register.

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1 OctThu
  1. SEC: Press Release36

    The SEC's Division of Examinations released a new edition of the Exam Handbook.

    The U.S. Securities and Exchange Commission (SEC) Division of Examinations released the new edition of the SEC Exam Handbook: A Practical Guide on Process and Engagement on October 1, 2026, replacing and expanding the previous examination manual. The handbook provides clear guidance on examination processes nationwide, covering all stages from risk assessment to disposition letters, while offering practical preparation advice and compliance resources for registered entities, aiming to enhance the consistency and predictability of examination processes.

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30 SeptWed
  1. OpenBB：GitHub Releases60

    OpenBB V5 Released: License Changed to Apache-2.0, Core, CLI, and Most Providers Upgraded to 2.0

    OpenBB has released the V5 major version line. The openbb meta-package is at 5.0.0, while the core, CLI, API, MCP server, router, and most providers are at 2.0.0. openbb-devtools is at 2.0.1, openbb-charting is at 4.0.0, and openbb-imf is at 3.0.0.

    Key Takeaways:OpenBB V5 changes the license to Apache-2.0 and migrates to hatchling/uv packaging, a layered openbb.toml configuration, and a CLI 2.0 spec file mechanism. These changes can be used to evaluate upgrade paths and available data sources.

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2 SeptWed
  1. EDGAR 13F：Citadel Advisors17

    Citadel Advisors Files 13F-HR/A Quarterly Holdings Amendment

    Citadel Advisors filed a 13F-HR/A quarterly holdings amendment on 2026-09-02, for the reporting period ending 2026-06-30. The filing was received by the SEC on 2026-09-01 at 18:14:00. The report consists of a main document and an information table of holdings, with the filer's office and mailing address both listed as 830 Brickell Plaza, Miami.

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15 AugSat
  3. EDGAR 13F: Bridgewater17

    Bridgewater Files 13F-HR Quarterly Holdings Report

    Bridgewater Associates submitted a 13F-HR quarterly holdings report to the SEC on 2026-08-14, covering the period ending 2026-06-30. The filing was received by the SEC at 16:08:20 on the same day. This submission includes the main document and holdings information table. The complete submission text file is numbered 0001350694-26-000003.txt. Bridgewater's registered address is located in Westport, Connecticut.

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  6. EDGAR 13F：AQR14

    AQR Files 13F-HR Quarterly Holdings Report

    AQR filed its 13F-HR quarterly holdings report on 2026-08-14, with a reporting period ending 2026-06-30, accepted by the SEC on the same day. This filing includes the main document and the holdings information table. The complete submission text file number is 0001167557-26-000226.txt, and AQR's contact address is ONE GREENWICH PLAZA SUITE 130 GREENWICH CT 06830.

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14 AugFri
  1. EDGAR 13F：Susquehanna14

    Susquehanna (SIG) Filed Its Q2 2026 13F-HR Holdings Report

    Options market maker Susquehanna (SIG) filed its 13F-HR quarterly holdings report with the SEC on 2026-08-14, for the reporting period ending 2026-06-30, which was accepted by the SEC on the same day. The report includes the main document and holdings information table, with the complete submission file number 0001446194-26-000008, available for review on the EDGAR platform.

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  2. EDGAR 13F：Two Sigma Investments17

    Two Sigma Investments Submits 13F-HR Holdings Report for the Quarter Ending 2026-06-30

    Two Sigma Investments submitted a 13F-HR quarterly holdings report through EDGAR on 2026-08-14, with the reporting period ending 2026-06-30 and the document taking effect on the same day. The report includes a main document and a holdings information table, and the submitting entity is registered at 16th Floor, 100 Avenue of the Americas, New York.

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  3. EDGAR 13F: Renaissance Technologies23

    Renaissance Technologies files 13F-HR quarterly holdings report as of 2026-06-30

    Renaissance Technologies filed a 13F-HR quarterly holdings report with the SEC on 2026-08-13, with the reporting period ending 2026-06-30. The document was received by the SEC at 16:34:33 on the same day. The report consists of two types of documents: the main document and the holdings information table, totaling 2 documents. The registered address of the filer is 520 Madison Avenue, New York.

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30 JulThu
  1. Aswath Damodaran：Musings on Markets54

    Aswath Damodaran: Disclosure and Timing – The Earnings Guidance Game

    Aswath Damodaran, a professor at New York University's Stern School of Business, wrote an article analyzing the SEC's proposal to replace quarterly reports with semi-annual reports alongside new Federal Reserve Chair Kevin Warsh's proposal to reduce forward guidance, arguing that both are essentially reducing the amount of public information that markets have become accustomed to receiving.

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24 JulFri
7 JulTue
  1. FINRA: Regulatory Notices44

    FINRA Issues Regulatory Notice 26-13: Amends Rule 3210 to Add Exemption for Trump Accounts

    FINRA has amended Rule 3210 (Accounts at Other Broker-Dealers and Financial Institutions) to add an exemption for Trump Accounts established under Section 530A of the Internal Revenue Code, with the rule change effective June 17, 2026. Trump Accounts are special traditional IRAs established for eligible individuals under the age of 18. This exemption applies only to such accounts and their compliant investment transactions, and the revised text is attached as Appendix A to the notice.

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16 MaySat
4 NovTue
  1. EDGAR 13F：Scion16

    Scion (Michael Burry) filed its 13F-HR holdings report for the quarter ending September 30, 2025

    Scion (Michael Burry) filed its 13F-HR quarterly holdings report on November 3, 2025, for the reporting period ending September 30, 2025. The report consists of 2 files, with the submission number 0001649339-25-000007, and the institution's registered address is located at 20665 Fourth Avenue, Suite 201, Saratoga, California.

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