Securities & Markets

Austen Access Fund Ordered to Cease and Pay $2,500 Penalty

The New Hampshire Bureau of Securities Regulation has issued a consent order against Austen Access Fund, LP. The fund is ordered to cease and desist from further violations and pay a $2,500 penalty for filing a notice of exemption more than one year after its first sale of securities in the state.

NH Consent Order: Redwood Private Wealth, LLC and Thomas Space - Unsuitable Options Trades

The New Hampshire Bureau of Securities Regulation has issued a consent order against Redwood Private Wealth, LLC and Thomas Space for unsuitable options trades that resulted in an $81,426 loss for a client. The order settles the matter without admission of guilt and includes sanctions.

CFPB Draft Strategic Plan FY 2026-2030 - Public Comment Invited

The Consumer Financial Protection Bureau (CFPB) has released a draft strategic plan for fiscal years 2026-2030 and is inviting public feedback. Interested parties can submit comments via email until April 17, 2026.

NYSE American Options Regulatory Fee Proposal

The NYSE American has filed a proposal to establish a new Options Regulatory Fee. This fee aims to recover costs associated with regulatory services for options trading on the exchange. The filing details the proposed fee structure and its rationale.

NYSE American Options Fee Schedule Amendment Proposal for MSCI Indices

The NYSE American has proposed an amendment to its options fee schedule concerning MSCI indices. This filing initiates a public comment period, allowing stakeholders to provide feedback on the proposed changes to options trading fees.

SEC Statement on Proposed Amendments to Rule 15c2-11 for Equity Securities

SEC Commissioner Hester M. Peirce issued a statement regarding proposed amendments to Exchange Act Rule 15c2-11, which would clarify its application solely to equity securities. The statement criticizes the prolonged and burdensome process leading to this proposal, which aims to rectify past uncertainty regarding the rule's application to fixed-income securities.

SEC Proposes Amendments to Exchange Act Rule 15c2-11

The SEC has proposed amendments to Exchange Act Rule 15c2-11, which governs information requirements for broker-dealers quoting securities in the OTC market. The proposed changes would clarify that the rule applies only to equity securities.

SEC Enforcement Director Margaret Ryan Resigns; Sam Waldon Named Acting Director

The Securities and Exchange Commission (SEC) announced that Margaret A. Ryan has resigned as Director of the Division of Enforcement. Principal Deputy Director Sam Waldon has been named Acting Director, effective March 16, 2026. The SEC noted progress in reprioritizing enforcement cases towards fraud and investor harm.

SFC Enforcement News Website Update

The Securities and Futures Commission (SFC) of Hong Kong has updated its website by adding new enforcement news publications. These updates provide access to recent enforcement actions and related information.

FCA Consultation on Modernising the Redress System

The FCA and Financial Ombudsman Service are seeking views on proposals to modernise the financial services redress framework. This consultation aims to provide greater certainty for firms and better serve consumers, with a comment deadline of May 11, 2026.