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Bio-Med Investments II Settles with NH Securities Bureau for $2,500

The New Hampshire Bureau of Securities Regulation has settled with Bio-Med Investments II, LLC for $2,500. The settlement resolves allegations that Bio-Med II failed to timely file a notice for securities sales made in New Hampshire, more than a year after the first sale occurred.

NYSE American Options Fee Schedule Rule Change Filing

NYSE American LLC has filed a proposed rule change to modify its options fee schedule. This filing, submitted under Section 19(b)(2) of the Securities Exchange Act of 1934, outlines specific adjustments to the fees associated with options trading on the exchange. The filing is currently under review by the SEC.

AMF France: Crowdfunding Platforms Reminded of Complaint Handling Rules

The AMF France has issued a reminder to crowdfunding service providers (CSPs) regarding their obligations for handling investor complaints. This guidance clarifies requirements under EU and AMF regulations for establishing and maintaining effective complaint handling systems.

Oregon Enforcement Orders for United Advocacy Counseling and NEXT Insurance

The Oregon Division of Financial Regulation has added two new enforcement orders. United Advocacy Counseling (DM-25-0060) and NEXT Insurance US LLC (INS-25-0051) are subject to these orders, with dates of March 17, 2026, and March 16, 2026, respectively.

FCA Final Rules: Operational Incident and Third Party Reporting

The FCA has published final rules and guidance for operational incident and material third party reporting. These rules, which will apply from 18 March 2027, aim to standardize reporting processes and enhance oversight of critical third-party arrangements within the financial sector.

FCA Consultation on Regulation for SME Access to Finance

The FCA is seeking views on how its regulations can better support small and medium-sized enterprises (SMEs) in accessing finance. This initiative is part of the FCA's strategy to support growth and improve business access to capital.

Larry Holley - Fine Payment Instructions and Consent Order

The Michigan Department of Licensing and Regulatory Affairs has issued fine payment instructions and a consent order related to Larry Holley's unregistered securities activities. The total fine for Larry Holley has been reduced to $40,000.00, payable after the SEC receivership closes.

ASIC v. Sunshine Loans - High Court Ruling on Recusal

The Australian Securities and Investments Commission (ASIC) has won a High Court appeal against Sunshine Loans. The High Court unanimously rejected Sunshine Loans' appeal regarding the recusal of a judge, allowing the original judge to determine penalties for unlawful fees charged by Sunshine Loans.

NYSE American Options Fee Schedule Amendment Proposal

The NYSE American has proposed amendments to its Options Fee Schedule. This filing initiates a public comment period, allowing stakeholders to review and respond to the proposed changes regarding options trading fees.

NYSE Arca Proposes Rule Change for Fees and Charges

NYSE Arca has filed a proposed rule change with the SEC to introduce the NYSE Arca Equity Membership On-Ramp Program. This program offers discounted fees for new Equity Permit Holders for up to 18 months to encourage participation from smaller, retail-oriented market participants. The rule change is proposed to be effective March 6, 2026.