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Columbia Bank trademark registered for banking services

The USPTO registered Columbia Bank's trademark (TM77361248) for banking and financial services on April 2, 2026. The registered services include checking and savings accounts, online cash accounts, investment and mortgage banking, consumer and commercial lending, financial planning, safe deposit box services, and credit/debit card services.

CADENCE Trademark Registered Banking Services

USPTO registered CADENCE trademark (Reg. No. TM78627890) for banking services. The trademark application was originally filed on May 11, 2005, and officially registered on April 2, 2026. This registration grants trademark protection for banking services under Class 036.

Hartford Financial Services Group Trademark Registration

The USPTO registered trademark TM78204374 for The Hartford Financial Services Group on April 2, 2026. The trademark covers insurance underwriting, administration, investment management, mutual fund services, financial advisory, and asset management services. The application was originally filed on January 17, 2003.

Ivy Funds Trademark Registration - Mutual Fund Investment Services

USPTO registered the Ivy Funds trademark (TM78628791) for mutual fund investment services under Class 036. The trademark was registered on April 2, 2026, with the original application filed on May 12, 2005. This grants legal trademark protection for the fund's brand identity in insurance and financial services.

Atradius Trademark Registration Cancelled

The USPTO cancelled Atradius trademark registration TM78367627 on April 2, 2026. The trademark covered insurance and financial services including credit insurance underwriting, debt collection, and financial evaluation services. This cancellation removes Atradius's federal trademark protection for the covered Class 036 services.

FTC warns about mortgage relief scams targeting vulnerable homeowners

The FTC issued a consumer alert warning homeowners about mortgage relief scams. Scammers contact homeowners unexpectedly, promising mortgage modifications or foreclosure avoidance in exchange for upfront fees. The alert advises consumers not to pay upfront fees and to report suspected scams to ReportFraud.ftc.gov.

NH Highlights MyMoney.gov Resources for Financial Literacy

The New Hampshire Banking Department announced Financial Empowerment Month by highlighting MyMoney.gov federal resources for financial literacy. The announcement directs consumers, educators, and researchers to the federal website for information on topics including household economics and decision-making.

GENIUS Act Principles for State-Federal Regulatory Equivalence

The Department of Treasury published a notice of proposed rulemaking to implement section 4(c) of the GENIUS Act, establishing principles for determining when a state-level payment stablecoin regulatory regime is substantially similar to the Federal framework. Comments must be submitted by June 2, 2026.

SEC Joint Industry Plan Consolidated Equity Market Data Fee Schedule

The SEC published a notice on March 31, 2026, soliciting comments on Amendment No. 1 to the Consolidated Tape (CT) Plan fee proposal. The amendment, filed by the CT Plan Operating Committee on March 30, 2026, supersedes the original fee schedule filed December 11, 2025. The proposal establishes fees for Transaction Reports and Quotation Information including Professional/Non-Professional Use, Enterprise Caps, Redistributor Fees, Non-Display Use, and Derived Data fees.

Cboe BZX Exchange IPO Auction Rule Changes

The SEC approved Cboe BZX Exchange rule changes to Exchange Rule 11.23(d)(2)(B), creating separate frameworks for corporate securities and ETP IPO Securities regarding Quote-Only Period extensions. The changes expand circumstances under which the Exchange may extend the Quote-Only Period for ETP IPO Auctions.

Nasdaq Rule Change to Remove Obsolete Equity Rule Text

The SEC published a notice that Nasdaq filed a proposed rule change to remove obsolete text in Nasdaq Equities 6, Sections 1 and 2. The obsolete text describes Nasdaq Risk Management, a product that was replaced in 2021 and should have been removed in a 2024 cleanup filing. The SEC is soliciting comments from interested persons.

NYSE American SEC rule change Short Term Options Series

NYSE American SEC rule change Short Term Options Series

Amendment to Rule 3307 Anti-Internalization Functionality

Nasdaq PHLX LLC filed a proposed rule change with the SEC to amend Equity 4, Rule 3307(c), extending the Port-Level Anti-Internalization Functionality to FIX and FLITE order entry protocols. The Exchange states the FLITE functionality is already operational, while FIX implementation is planned before end of 2026. The SEC is soliciting comments from interested persons.

Proposed Enterprise Fee for Depth of Book Market Data

The SEC published notice on March 31, 2026 that 24X National Exchange LLC filed a proposed rule change on March 18, 2026 to establish a monthly Enterprise license fee of $15,000 for its 24X Depth Feed proprietary market data. The proposed license would allow unlimited Professional and Non-Professional Users to access the depth of book data as an alternative to per-user fees. The Exchange cites market demand and alignment with other exchanges as justification for the new pricing option.

Co-Investment Exemptive Relief Application for BDCs and Affiliated Investment Entities

The SEC published notice of an application by Cypress Creek Private Strategies Master Fund, L.P. and affiliated entities requesting exemptive relief under sections 17(d) and 57(a)(4) of the Investment Company Act of 1940. The application seeks an order permitting business development companies (BDCs) and closed-end management investment companies to co-invest in portfolio companies with each other and with certain affiliated entities. The application was filed on September 16, 2025, and amended on March 5, 2026.

NYSE American Market Data Fee Changes

The SEC published a proposed rule change from NYSE American LLC to amend its Equities Proprietary Market Data Fees Schedule. The Exchange proposes to establish a new NYSE American BBO Digital Media Enterprise Fee of $5,000 per month and extend digital media enterprise fees to NYSE American BBO and Trades Enterprise Fee subscribers. The proposal is published for public comment.

BOX Exchange Rule Changes for Crypto ETF Options Position Limits

The SEC published a proposed rule change by BOX Exchange LLC to amend Rules 5055 (FLEX Equity Options) and 3120 (Position Limits) for options on 11 cryptocurrency ETF shares including iShares Bitcoin Trust ETF, Grayscale Bitcoin Trust, and various Ethereum ETFs. The proposal would eliminate the current 25,000 contract position and exercise limits for certain Bitcoin ETF options and apply standard position limits per BOX Rules 3120 and 3140.

Nasdaq Rule 4757 Anti-Internalization Functionality Amendment

The SEC published Nasdaq's proposed rule change to amend Equity 4, Rule 4757, expanding the Port-Level Anti-Internalization Functionality to FIX and FLITE order entry protocols. The change also extends the implementation date for the CORE FIX order entry protocol to before end of 2026. The FLITE protocol functionality will become operative 30 days after filing.

Cboe BZX Exchange Rule Amendment Extends IPO Quote Period

The SEC granted accelerated approval to Cboe BZX Exchange's proposed rule change to amend Exchange Rule 11.23(d)(2)(B), extending the quote-only period for IPO auctions. The amendment differentiates between BZX-listed corporate securities and ETP IPO Securities and expands circumstances for extending the Quote-Only Period. File No. SR-CboeBZX-2025-149.

Cypress Creek Private Strategies Master Fund Co-Investment Order Application

The SEC published notice of an application by Cypress Creek Private Strategies Master Fund, L.P. and affiliated entities requesting an order under sections 17(d) and 57(i) of the Investment Company Act of 1940 and rule 17d-1. The application seeks to permit business development companies (BDCs) and closed-end management investment companies to co-invest in portfolio companies with each other and with affiliated investment entities. The application (File No. 812-15899) was filed September 16, 2025 and amended March 5, 2026.

Cboe Rule 5.4 Amendment - MBTX Options Minimum Increment

The SEC granted accelerated approval to Cboe Exchange's Amendment No. 1 to modify the minimum increment for options on the Cboe Mini Bitcoin ETF Index (MBTX) under Cboe Rule 5.4. The amendment (Release No. 34-105131, File No. SR-Cboe-2025-075) was approved on March 31, 2026 and published April 3, 2026, with no public comments received. The change affects market participants trading MBTX options on the Cboe Options exchange.

Nasdaq PHLX Extends CORE FIX Order Entry and Amends Anti-Internalization Functionality

The SEC published Nasdaq PHLX's proposed rule change (SR-PHLX-2026-17) to extend the implementation date of the CORE FIX Order Entry protocol and amend the Exchange's anti-internalization functionality in Equity 4, Rule 3307. The anti-internalization functionality helps market participants prevent unwanted executions between orders from the same firm. Comments are being solicited on this immediately effective filing.

Nasdaq Rule Change Removes Obsolete Nasdaq Equities 6 Text

The Securities and Exchange Commission published notice that The Nasdaq Stock Market LLC filed a proposed rule change to remove obsolete text in Nasdaq Equities 6. The obsolete provisions relate to three discontinued products—ACT Workstation, Nasdaq InterACT, and Nasdaq Risk Management—that were replaced in 2021 by new platforms. This is a ministerial action that does not substantively affect the rights or obligations of any market participant.

FLEX Options Position Limits for Cryptocurrency ETF Shares

The SEC published notice that BOX Exchange LLC filed a proposed rule change to amend BOX Rules 5055 (FLEX Equity Options) and 3120 (Position Limits) to establish position limits for FLEX options overlying cryptocurrency Exchange-Traded Fund shares. The affected products include Bitcoin ETFs (IBIT, GBTC, BTC, BITB, FBTC, ARKB) and Ethereum ETFs (ETHA, FETH, ETHW, ETHE, ETH). The proposal is a competitive filing based on a similar Nasdaq ISE submission. The SEC seeks public comment on the proposed rule change.

Nasdaq CORE FIX Order Protocol Implementation Date Extension

The SEC published notice of Nasdaq's proposed rule change to amend its anti-internalization functionality in Equity 4, Rule 4757, and extend the implementation date of the CORE FIX order entry protocol. The amendment affects market participants using CORE FIX or OUCH order entry protocols. Release No. 34-105129; File No. SR-NASDAQ-2026-023.

Nasdaq Texas Anti-Internalization Functionality Amendment - Rule 4757

SEC published notice that Nasdaq Texas, LLC filed SR-NasdaqTX-2026-012 to amend Rule 4757 anti-internalization functionality and extend the CORE FIX order entry protocol implementation date. The change expands the Port-Level Anti-Internalization Functionality to allow unique group identification modifiers to apply across all order types, not just specific order entry ports.

NYSE American Options Fee Schedule - Elimination of Incentive Rebates and FB Cap Increase

NYSE American LLC filed a proposed rule change with the SEC (Release No. 34-105132, File No. SR-NYSEAMER-2026-25) to modify its Options Fee Schedule, effective March 18, 2026. The Exchange increased the FB Cap on combined Floor Broker credits paid for QCC trades and rebates paid through the Manual Billable Program, while eliminating two incentive programs: the FB AON CUBE Rebate and the ATP Electronic Rebate.

Equity Market Data Fee Schedule Amendment Proposal

The SEC published a notice and instituted proceedings to determine whether to approve or disapprove Amendment No. 1 to the Consolidated Tape (CT) Plan regarding a new fee schedule for consolidated equity market data. The Operating Committee of CT Plan LLC filed the amendment on March 30, 2026, modifying the original fee proposal published December 31, 2025. The SEC is soliciting public comments on the modified fee proposal under Rule 608(b)(2)(i) of Regulation NMS.

Monthly Depth of Book Enterprise Fee for Proprietary Market Data Feed

The SEC published notice that 24X National Exchange LLC filed SR-24X-2026-09 to adopt a monthly Enterprise fee for its depth of book proprietary market data feed (24X Depth Feed). The Exchange currently charges various fees including $1,500/month for Internal Distributors, $2,500/month for External Distributors, $30/month per Professional User, and $3/month per Non-Professional User. The proposed enterprise fee structure applies to all subscribers of the 24X Depth Feed.

Deputy General Counsel Appointments

CFTC Chairman Michael S. Selig announced Stephen D. Andrews and M. Jordan Minot as Deputy General Counsel for regulation and litigation, respectively. Andrews joins from the U.S. Senate where he served as General Counsel to Senator Josh Hawley; Minot comes from the Virginia Attorney General's Office. Both will lead branches in the CFTC General Counsel's office.

ACPR Banking Sector Regulatory Search Results Index

The ACPR (French banking and insurance regulator) published a search results index displaying 82 documents filtered for the banking sector. The results include regulatory resources on EU passporting rules, systemic entities, and supervisory disclosure; publications on relationship lending, anti-money laundering via rebound accounts, and climate-related central bank communication; and downloadable templates for IT risk management and third-country branch applications.

Consolidated Reports Q1 2026 Call Report Filing

FDIC issued FIL-10-2026 reminding FDIC-insured financial institutions of the Q1 2026 Call Report submission deadline of April 30, 2026 (May 5, 2026 for institutions with foreign offices). The filing confirms no new data items or revisions to FFIEC 031, 041, or 051 Call Report forms this quarter. Institutions should review attached Supplemental Instructions for guidance on early adoption of the enhanced supplementary leverage ratio rule.

Bank CRA Compliance Examination List

The FDIC issued its monthly list of state nonmember banks examined for Community Reinvestment Act (CRA) compliance, covering January 2026 evaluation ratings. The list includes publicly available CRA evaluation ratings assigned to approximately 17 institutions. Banks are required to make their individual CRA evaluations available upon request.

Notice to All Interested Parties of Intent To Terminate Receivership

The Federal Deposit Insurance Corporation published a notice of intent to terminate a receivership affecting 847 units. This routine administrative notice informs interested parties about the planned termination of the receivership estate. No specific failed institution is named in the notice.

SEC Guidance Rescission - Revenue Recognition and Derivatives and Hedging

FASB added ASU 2016-11 to its standards listing page. This update rescinds SEC guidance related to Revenue Recognition (Topic 605) and Derivatives and Hedging (Topic 815) that was superseded by Accounting Standards Updates 2014-09 and 2014-16. The rescission reflects staff announcements made at the March 3, 2016 EITF Meeting.

ISDA Response to EC Tax Omnibus Call for Evidence on Beneficial Ownership

ISDA, the International Securities Lending Association, and the Association for Financial Markets in Europe submitted a joint response on March 30, 2026, to the European Commission's call for evidence on the tax omnibus. The associations called for an EU-level, principles-based framework on beneficial ownership to address inconsistent interpretations among member states that create withholding tax uncertainty for securities lending and derivatives. They recommended alignment with OECD guidance supplemented by practical safe harbors for standard capital markets transactions.

Research Report on Third-Party Cybersecurity Risk Management for Financial Institutions

Japan's Financial Services Agency published a research report on third-party cybersecurity risk management for financial institutions. The FSA commissioned Deloitte Tohmatsu Cyber LLC to examine management practices among major banks and large insurance companies in the United States, European Union, and United Kingdom. The report provides provisional English translations for industry reference.

Nigeria Pension Fund Monthly Industry Summary - ₦29.4 Trillion

The National Pension Commission (PenCom) Nigeria released its monthly industry summary for February 2026, reporting total pension fund assets of ₦29.4 trillion (₦29,426,301.32 million). The pension industry covers 11,134,223 RSA (Retirement Savings Account) memberships across approved existing schemes and closed pension fund administrators.

Summary of Governing Council Monetary Policy Deliberations

Bank of Canada published its Summary of Deliberations from the Governing Council meeting on May 13, 2026. This routine publication summarizes the monetary policy discussions that preceded the policy decision announced two weeks earlier. The document provides transparency into the Council's deliberations without introducing new policy requirements.

Rupee Exchange at International Airport Forex Counters

The Reserve Bank of India has amended the Master Direction on Money Changing Activities to permit residents to exchange Indian Rupee notes at foreign exchange counters located in departure halls of international airports beyond Immigration or Customs desks. The circular extends this facility to Duty-Free Areas and Security Hold Areas. Authorised Persons must update procedures and notify customers of the expanded exchange options.

Floating Rate Savings Bonds 2020 - Operational Guidelines

The Reserve Bank of India has issued revised operational guidelines for Floating Rate Savings Bonds 2020 (Taxable), superseding the June 2020 guidelines. The new guidelines cover procedures for bond issuance, servicing, nomination, interest payments, premature encashment, claims processing, audit compliance, and grievance redressal. The guidelines come into effect immediately and apply to all Receiving Offices authorized to handle these government securities.

Hedge Fund Manager Swap Valuation Fraud Enforcement

The CFTC obtained a federal court order granting summary judgment against James R. Velissaris, former hedge fund manager of Infinity Q Capital Management LLC, for a multi-year swap valuation fraud scheme. Velissaris was ordered to pay $2.2 million in civil monetary penalties and permanently barred from CFTC-regulated markets and trading. The scheme inflated fund net asset values through manual adjustments to independent pricing systems, resulting in over $125 million in excess fees to investors.

CFTC Sues States to Reaffirm Exclusive Jurisdiction Over Prediction Markets

The Commodity Futures Trading Commission filed lawsuits against Arizona, Connecticut, and Illinois challenging state actions that restrict prediction market activities by CFTC-registered designated contract markets. The suits seek declaratory and injunctive relief to reaffirm CFTC's exclusive jurisdiction over event contracts under the Commodity Exchange Act. The CFTC is defending its regulatory authority against what it characterizes as overzealous state regulators attempting to impose inconsistent obligations on market participants.

FCA and Bank Seek Taskforce Members for Transaction and Post-trade Reporting Harmonisation

The FCA and Bank of England jointly seek expressions of interest from market participants to join a new Transaction and Post-trade Reporting Taskforce. The taskforce comprises three working groups (Policy, Strategy, and Architecture) that will assess opportunities to harmonise transaction and post-trade reporting requirements under UK MiFIR, UK EMIR, and UK SFTR. Applications close on 23 April 2026.

One World One Wallet trademark application for digital payment system

The USPTO received an Intent-to-Use trademark application (TM99593144) for 'ONE WORLD. ONE WALLET.' covering downloadable software and online services for digital payments, electronic funds transfer, digital wallet management, and financial account integration. The applicant filed under Class 036 (Insurance & Finance) with services spanning mobile payment applications, API-based payment processing, currency conversion, and business consulting in online payments.

Boyd Amber Investment Group - Trademark Application for Investment Services

The USPTO received an Intent to Use trademark application (TM99581810) from Boyd Amber Investment Group on January 7, 2026, covering financial advisory, investment management, venture capital funding, and real estate investment services. The application lists 40 distinct service descriptions under International Class 036 (Insurance and Financial). No compliance deadlines or regulatory obligations are imposed by this filing.

Keystone Wealth Management Trademark - Class 36 Financial Services

The USPTO published trademark application TM99739821 for KEYSTONE WEALTH MANAGEMENT covering Class 36 financial services including wealth management, financial planning, investment advisory, and portfolio management. The publication initiates a standard 30-day opposition period during which third parties may challenge the registration.

Mendia-Alcaraz - Investment Adviser Fraud ($3.3M Unregistered Securities)

The SEC instituted administrative proceedings under Section 203(f) of the Investment Advisers Act against Bernardo Mendia-Alcaraz for securities fraud. From December 2019 through September 2023, Mendia-Alcaraz raised approximately $3.3 million from at least 41 investors through six private investment funds managed by Toltec Capital LLC via fraudulent misrepresentations about proprietary S&P 500 analytics. A permanent injunction was entered against Mendia-Alcaraz on December 16, 2025 in SEC v. Mendia-Alcaraz (N.D. Cal., No. 3:24-cv-05823-RS).

CSA Report on CIRO and CIPF Oversight Activities

The Canadian Securities Administrators published a report covering oversight activities for the Canadian Investment Regulatory Organization and the Canadian Investor Protection Fund during the 2025 calendar year. The report reviews CIRO's rules consolidation, registration function operationalization, fee model amendments, new proficiency model, and response to an August 2025 cybersecurity breach. CIPF's integration of protection funds and alignment of investment policies were also reviewed. No new compliance requirements are imposed.

CSA and CIRO Guidance on Prediction Market Rules

The Canadian Securities Administrators (CSA) and Canadian Investment Regulatory Organization (CIRO) issued joint guidance reminding industry participants and investors of existing regulatory requirements governing prediction markets and event contracts. The guidance clarifies that two CIRO members are authorized to facilitate Canadian client access to event contracts on foreign prediction markets, subject to specific terms and conditions. No prediction market has been recognized as an exchange or registered as a dealer in Canada.