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Regulation and Enforcement Latest Activity

Public consultations, enforcement actions, penalties, and risk alerts.

57 related activitiesLast 30 days 45 itemsFeatured among them 2 items

Updated

Activity Archive · Page 3 页

1 OctThuIssue 41–57 items
  1. Federal Reserve: Speeches48

    Waller: The Data Version of Godzilla x Kong — FRED vs. AI

    Federal Reserve Governor Christopher Waller reviewed the history of FRED in a speech, calling it the most valuable public good built by the Federal Reserve. FRED now hosts over 850,000 data series and reached 18 million unique users in 2025. He also noted that AI introduces risks such as incorrect data citations and interpretive bias. FRED traffic is currently growing at an annual rate of 150%, with roughly half of visits coming from AI agents. FRED has launched the FRED MCP Connector, allowing users to retrieve data through their preferred AI agents.

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30 SeptWed
  1. HKEX: Market Communications34

    HKEX Report on Initial Public Offering Applications, Delistings, and Suspensions in September 2026

    HKEX released its monthly regulatory statistics report on IPO applications, delistings, and suspensions for September 2026. As of September 30, 2026, the total number of listed companies on HKEX reached 2772, with 933 IPO applications processed cumulatively since 2026, of which 169 have completed listing. The report also disclosed the median processing time for various listing application documents in September, and the median time from Listing Committee hearing to listing in the past 12 months was 18 working days.

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23 SeptWed
22 SeptTue
  1. Federal Register: CFTC rules and notices24

    CFTC Proposes Extension of OTC Forex Information Collection Period and Seeks Public Comment

    The CFTC has issued a notice under the Paperwork Reduction Act (PRA) proposing to extend the information collection requirement for off-exchange foreign currency transactions, assigned number 3038-0062, which originates from Part 5 of the CFTC Regulations under the Commodity Exchange Act (CEA). The public may submit comments online via Regulations.gov, by mail, or in person by November 23, 2026. All comments must be submitted in English or accompanied by an English translation.

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15 SeptTue
10 SeptThu
  2. HKEX: Press Releases27

    HKEX, HKMA, Dubai Financial Services Authority and Nasdaq Dubai form strategic working group to strengthen financial market connectivity between Hong Kong and Dubai

    HKEX, the Hong Kong Monetary Authority, the Dubai Financial Services Authority (DFSA) and Nasdaq Dubai jointly announced the establishment of a strategic working group to deepen financial market connectivity between Hong Kong and the Dubai International Financial Centre (DIFC).

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31 AugMon
  1. HKEX: Market Communications32

    HKEX Report on Initial Public Offering Applications, Delistings and Trading Suspensions for August 2026

    HKEX has released its monthly regulatory statistics report on IPO applications, delistings and trading suspensions for August 2026. As of August 31, 2026, the total number of listed companies on HKEX reached 2,761, and 866 listing applications have been processed since 2026, of which 135 have completed listing. The report also discloses the median processing time for various listing application documents, as well as statistics on listing review over the past 12 months.

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27 AugThu
  1. Deribit Insights44

    Deribit will stop publishing daily proof of reserves.

    Deribit will stop publishing daily proof of reserves and remove the corresponding page on September 1, 2026, a change stemming from its ongoing integration with Coinbase. This change does not affect the custody and protection of client assets. Deribit remains regulated by the Dubai Virtual Asset Regulatory Authority (VARA), maintains client asset segregation and 1:1 reserve requirements, and conducts independent proof of reserves audits twice a year.

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26 AugWed
  1. Federal Reserve: Monetary Policy30

    Federal Reserve Board Releases Minutes of Discount Rate Meetings Held on July 20 and July 29, 2026

    On August 25, 2026, the Federal Reserve Board released the minutes of its discount rate meetings held on July 20 and July 29, 2026, covering the review and determination of the discount rate offered to depository institutions through the discount window. The process for setting this discount rate is independent of the Federal Open Market Committee's process for setting the target range for the federal funds rate.

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3 AugMon
  1. FINRA: Regulatory Notices29

    FINRA Issues Reminder Notice on 2026 Continuing Education Requirements

    FINRA has issued an informational notice reminding registered persons and firms to comply with continuing education requirements. The 2026 Regulatory Element training must be completed by December 31, 2026; registered persons who fail to complete it on time will be automatically marked as CE inactive. Firms may set internal completion deadlines earlier than the official deadline in FINRA Gateway, and can also schedule automatic notifications to remind registered persons. FINRA also provides the FLEX online content catalog and supporting tools to assist firms in developing written continuing education training plans.

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31 JulFri
  1. HKEX: Market Communications32

    HKEX Report on Initial Public Offering Applications, Delistings and Trading Suspensions for July 2026

    HKEX has released its monthly regulatory statistics report on IPO applications, delistings and trading suspensions for July 2026. As of July 31, 2026, the total number of listed companies on HKEX reached 2,763, and 838 IPO applications have been processed since 2026, of which 131 have completed listing. The report also discloses the median processing time for various listing application documents in July, as well as statistics on the time taken for relevant listing processes in the 12 months ending July 31, 2026.

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30 JulThu
24 JulFri
17 JulFri
  1. HKEX: Market Communications40

    HKEX to support RMB settlement of stamp duty and trading-related fees

    The Hong Kong SAR Government has gazetted the Stamp Duty (Amendment) (No. 2) Ordinance 2026, which stipulates that stamp duty for trades executed on the RMB counter of dual-counter stocks will be calculated and paid in RMB. HKEX will also promote RMB settlement of trading-related fees, including the SFC transaction levy, the FSTB transaction levy, the Investor Compensation Levy (currently suspended), and SEHK trading fees. The new arrangement will take effect only after the Hong Kong SAR Government issues an effective notice, obtains regulatory approval, and completes market preparations. Specific operational arrangements and target implementation timelines will be announced later.

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9 JulThu
  1. FINRA: Regulatory Notices47

    FINRA Seeks Public Comment on Proposal to Modernize Rule 2210 (Communications with the Public)

    FINRA has issued Regulatory Notice 26-14, seeking public comment on a proposal to modernize Rule 2210 (Communications with the Public). The proposal aims to replace the existing explicit requirement for pre-use approval by a principal with a modern, risk-based regulatory standard, while also simplifying the standards for retail communication filings and communications containing recommendations. Public comments must be submitted by September 11, 2026, and all received comments will be published on the FINRA website.

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