Financial Compliance

DFPI Orders Coinme to Refund $175,000 to California Consumers

The California Department of Financial Protection and Innovation (DFPI) has ordered crypto kiosk company Coinme to refund $175,000 to consumers for violating the state's Digital Financial Assets Law. This action follows a previous order where Coinme was fined $300,000 and ordered to pay $51,700 in restitution.

DFPI Fines Nexo Capital Inc. $500,000 for Unlicensed Crypto Loans

The California Department of Financial Protection and Innovation (DFPI) has fined Nexo Capital Inc. $500,000 for operating as an unlicensed lender and making risky crypto-backed loans to California residents. The company failed to assess borrowers' ability to repay loans, violating California financial laws.

CME Group Rule Filings and Advisories

CME Group provides access to its rule filings, market data, and clearing advisories, which are submitted to regulatory bodies like the CFTC and SEC. This page serves as a central repository for these official documents, allowing users to find historical and current submissions.

CME Group Market Regulation Advisory Notices (MRANs)

CME Group has published a collection of Market Regulation Advisory Notices (MRANs) providing guidance on exchange rules. These notices cover various topics including position limits, block trades, and disruptive practices. The MRANs are applicable to CME, CBOT, NYMEX, and COMEX exchanges.

CME Group Trading Notices and Advisories

CME Group provides a tool to search and filter historical and recent trading notices, advisories, and market data. This notice describes the functionality of the search tool and directs users to subscription options for updates.

CME Group Market Data, Clearing, and Margin Rules Archive

CME Group provides an archive of market data, clearing advisories, and margin rules. This tool allows users to search and filter historical notices related to trading and clearing operations. Users can subscribe to receive future updates directly.

NYSE Arca Rule Filing SR-NYSEARCA-2026-23: Fee Increase for Tape B Securities

NYSE Arca has filed a proposed rule change to amend its Equities Fees and Charges schedule. The filing increases fees for executions of orders that remove liquidity from the Exchange in Tape B securities priced at or above $1.00 per share. The proposed change is effective March 2, 2026.

NYSE Arca Proposes Options Rule Changes for Bitcoin/Ethereum ETFs

NYSE Arca has filed proposed rule changes with the SEC concerning options trading on Bitcoin and Ethereum ETFs. These changes aim to align with existing ETF listing standards and provide a framework for options on physically-backed crypto ETFs.

NYSE Arca Rule Change for Fees and Charges

NYSE Arca has filed a proposed rule change with the SEC to amend its Equities Fees and Charges. The change involves adopting a cap to the credit payable under Step Up Tier 3 of its pricing table, effective March 2, 2026. This aims to adjust fees in a competitive market environment.

NYSE Arca Options Fee Schedule Modification Proposal

NYSE Arca has proposed modifications to its Options Fee Schedule, specifically concerning the introduction of new fees for certain order types and the adjustment of existing ones. The proposal outlines specific fee amounts and the conditions under which they will apply, aiming to align with market practices and operational costs.