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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.

126 related activitiesLast 30 days 114 itemsFeatured among them 1 items

Updated

Activity Archive · Page 7 页

3 AugMonIssue 121–126 items
  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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30 JulThu
24 JulFri
15 JulWed
  1. Federal Reserve: Monetary Policy31

    Federal Reserve Board Releases Minutes of Discount Rate Meetings Held on June 8 and June 17, 2026

    On July 14, 2026, the Federal Reserve Board released the minutes of its discount rate meetings held on June 8 and June 17, 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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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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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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