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Actions by regulators and central banks such as the SEC, CFTC, FINRA, the Federal Reserve, Hong Kong's SFC and the HKMA: rules, enforcement, policy decisions and speeches.
79 related activitiesLast 30 days 68 itemsFeatured among them 1 items
VitalLaw.com has published a piece of exchange and market-related news linked to CFTC press releases and enforcement matters, with no further specific details disclosed at present.
Read originalOn October 13, 2026, the Federal Reserve Board released the minutes of its discount rate meetings held on August 17, September 9, and September 16, 2026. The minutes disclose the Board's deliberations and determination of the discount rate provided to depository institutions through the discount window. This rate-setting process is independent of the Federal Open Market Committee's process for setting the target range for the federal funds rate.
Read originalSenator Warren has requested the U.S. Government Accountability Office (GAO) to launch an investigation into staff reductions at the U.S. Commodity Futures Trading Commission (CFTC). This event falls under financial regulatory developments, with no further public details disclosed at present.
Read originalThe Hong Kong Monetary Authority released the Exchange Fund Analytical Account as of end-September 2026. During the month, the Exchange Fund’s external assets decreased by HK$76.7 billion to HK$3,576.0 billion, the monetary base was HK$2,090.2 billion, claims on the private sector in Hong Kong were HK$473.0 billion, and external liabilities were HK$135.3 billion. The account is released in accordance with the IMF’s Special Data Dissemination Standard, and the release schedule for the full year 2027 has also been announced.
Read originalThe Hong Kong Monetary Authority (HKMA) announced on October 14 the official launch of the Chongqing-Hong Kong Cross-Border Data Verification Platform (CQ-HK DVP), jointly promoted by the HKMA and relevant Chongqing authorities. Leveraging blockchain technology and hash-based data encoding, the platform enables verification of customer-submitted data without cross-border transmission or storage of original documents. Initially focused on cross-border financial scenarios, it supports verification of northbound and southbound data flows for banks in Chongqing and Hong Kong, serving a range of banking services such as account opening and loan applications for customers in both regions.
Read originalFINRA has adopted amendments to Rule 1210.06, shortening the waiting period for qualification exam retakes, effective January 19, 2027. The retake waiting period after the first and second failed attempts is reduced from 30 calendar days to 15 calendar days, and the retake waiting period for the third and subsequent failed attempts within two years is reduced from 180 calendar days to 60 calendar days. The amendments apply only to FINRA qualification exams; waiting periods for exams administered on behalf of other self-regulatory organizations or the North American Securities Administrators Association may differ.
Read originalThe Hong Kong Monetary Authority, on behalf of the Hong Kong SAR Government, announced that it will hold a top-up tender for 10-year HK-dollar government agency bonds on October 21, 2026. The underlying security is the existing bond with code 10GB3507001, with an issuance size of HK$1.25 billion and settlement on October 22, 2026. The bond carries a coupon of 3.17%, payable semi-annually, and matures on July 24, 2035. The tender is open only to designated primary dealers under the Government Bond Programme, with a minimum bid amount in multiples of HK$50,000.
Read originalOn behalf of the HKSAR Government, the HKMA announced that it will hold a tender for 3-year HKD institutional government bonds on October 21, 2026, through a tapering issuance of existing 5-year government bonds (issue number 05GB2912001, stock code 4284), with settlement on October 22, 2026. The tender size is HKD 750 million, with a coupon rate of 3.23% per annum, payable semi-annually, and a maturity date of December 5, 2029. The tender is open only to designated primary dealers under the Infrastructure Bonds Program, with a minimum tender amount of HKD 50,000 or multiples thereof.
Read originalThe CFTC has released proposed rules for "Regulation of Crypto Asset Trading" and "Regulation of Crypto Asset Markets," clarifying that, except for compliant payment stablecoins as defined by the GENIUS Act, other crypto assets generally meet the definition of commodities under the Commodity Exchange Act.
Read originalThe HKMA has announced the results of the October 13 tender for two issues of Exchange Fund Bills. Issue Q2641 received HK$205.533 billion in tenders, with HK$71.151 billion allotted at an average accepted yield of 2.82%; Issue H2670 received HK$64.930 billion in tenders, with HK$19.0 billion allotted at an average accepted yield of 3.15%. A tender for three issues of Exchange Fund Bills will be held on October 20, with a total planned issuance of HK$84.147 billion.
Read originalOn 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.
Read originalFINRA has issued Regulatory Notice 26-17, approving amendments to FINRA Rule 4515.01 regarding investment adviser batch order allocations, which will take effect on November 16, 2026. This amendment removes the requirement that investment adviser batch order allocations received after the close of trading be reviewed and approved by a principal, while retaining existing investor protection provisions. The amendment is part of the FINRA Forward initiative, which aims to simplify rules and reduce unnecessary operational burdens.
Read originalFed Governor Waller delivered a speech at the Central Bank of Türkiye, explaining the rationale behind the September FOMC decision to raise the policy rate by 25 basis points to 3.75%-4%, and elaborating on the signaling role of the Summary of Economic Projections (SEP). He stated that the September rate hike was not based on a single inflation data point, but rather the cumulative result of multiple factors over recent months, including stabilization in the labor market, energy price increases driven by Middle East conflicts, high-tech consumer price increases driven by AI construction, and new tariff risks arising from trade conflicts.
Read originalThe Federal Reserve released the minutes of the September 15-16, 2026 FOMC meeting on October 7, 2026. The minutes are based solely on information available to the Committee at the time of the meeting. Regular FOMC meeting minutes are typically released three weeks after the policy decision announcement, and are available in HTML or PDF format on the Federal Reserve Board's website.
Read originalOn October 6, 2026, the SEC filed a motion for a consent final judgment against Stephen Kenneth Leech II, former Co-CIO of Western Asset, alleging he operated a multi-year 'cherry-picking' trade allocation scheme from January 2021 to October 2023.
Read originalFed Governor and Vice Chair for Supervision Bowman delivered a speech at the Community Banking Research Conference, announcing that the Fed will reorganize its existing supervisory functions into five regions along state boundaries, with each region led by a regional director overseeing all supervisory activities, to address prior mismatches in supervisory authority and responsibilities and slow committee processes.
Read originalThe 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.
Read originalThe CFTC, in accordance with the Paperwork Reduction Act of 1995, has released a notice submitting the Information Collection Request (ICR) to the Office of Information and Regulatory Affairs (OIRA) under the OMB for review and public comment. The public is required to submit written comments before November 5, 2026, which can be submitted online through the OIRA website, Regulations.gov, or by mail or in-person delivery to the CFTC Secretariat.
Read originalThe 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.
Read originalFed Vice Chair for Supervision Bowman delivered remarks sharing preliminary assessments following the implementation of the eSLR rule finalized in November 2025.
Key Takeaways:Understand the calibration logic behind eSLR's shift from a fixed 2% buffer to 50% of GSIB method-1 surcharge capital, and its impact on the balance sheet capacity of Treasury market dealers.
