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Official updates (regulators & central banks) Latest Activity

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.

82 related activitiesLast 30 days 71 itemsFeatured among them 1 items

Updated

Activity Archive · Page 5 页

9 JulThuIssue 81–82 items
  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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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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