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Nasdaq GEMX Co-Location Fee Schedule

Nasdaq GEMX, LLC filed with the SEC to establish fees for its expanded co-location services under SR-GEMX-2026-12. The proposed rule change was filed and made immediately effective, consistent with standard SRO fee filing procedures. Market participants utilizing or considering exchange co-location services should review the new fee structure.

Federal Register Daily Index Prototype

The Federal Register published its daily index for April 2, 2026, containing 129 documents from 43 agencies across 275 pages. This prototype Web 2.0 version of the FederalRegister.gov daily index remains unofficial until the Administrative Committee of the Federal Register grants it official legal status. Contents include 100 notices, 13 proposed rules, 16 final rules, and 3 significant documents.

NYSE Arca Amends Short Term Options Series Program

NYSE Arca, Inc. filed a proposed rule change (SR-NYSEARCA-2026-34) with the SEC to amend its Short Term Options Series Program. The filing, designated for immediate effectiveness under Release No. 34-105110, was published in the Federal Register as 91 FR 16778. The amendments modify the operational framework for short-term options series trading on the exchange.

Nasdaq Texas Establishes Expanded Co-Location Service Fees

The SEC published Nasdaq Texas's proposed rule change to establish fees for expanded co-location services. The filing, designated Release No. 34-105113, was granted immediate effectiveness on April 2, 2026. The notice affects member firms and customers seeking co-location infrastructure at Nasdaq Texas trading facilities.

Domestic Bond Programme Circular

The Bank of Ghana issued a circular updating the framework for its Domestic Bond Programme. The circular provides guidance on the operational procedures and requirements for participation in Ghana's domestic bond market. The document targets financial institutions and investors engaged in government securities trading.

Ghana 7-Year Treasury Bond Issuance Announcement

The Bank of Ghana issued an announcement on April 1, 2026, regarding the issuance of 7-year Government of Ghana Treasury Bonds. The announcement, referenced as BG-FMD-2026-17, provides details for prospective investors and financial institutions. This is a routine domestic bond programme issuance under Ghana's ongoing liability management strategy.

Financial Empowerment Month Recognition

The New Hampshire Banking Department announced recognition of Financial Empowerment Month in April 2026, continuing an initiative first established in 2024. The Department will publish educational articles throughout April covering cryptocurrency, fraud prevention, elder protection, money management, escrow, and youth financial education. Resources are available year-round under the Consumer Assistance section of the Department website.

FMA Podcast on Access to Financial Advice in NZ

The Financial Markets Authority (FMA) in New Zealand published a podcast summarizing its Access to Financial Advice Review. The review found that only 28% of New Zealanders accessed a financial adviser in the past 12 months, revealing significant accessibility barriers. The FMA is engaging with industry stakeholders to explore ways to improve access to financial advice within the existing regulatory framework.

ASIC remakes non-cash payment facilities relief until 2031

ASIC has remade the ASIC Corporations (Non-cash Payment Facilities) Instrument 2026/167, extending relief for low-risk non-cash payment facilities from financial services licensing obligations under the Corporations Act 2001 until April 2031. The instrument covers travellers' cheques, loyalty schemes, road toll facilities, prepaid mobile facilities, non-reloadable gift facilities, and low-value non-cash payment products.

OCC Rescinds Bank Recovery Planning Guidelines

The OCC has issued a final rule rescinding its Guidelines Establishing Standards for Recovery Planning for certain large insured national banks, federal savings associations, and federal branches. The rule eliminates recovery planning requirements that previously applied to institutions with $100 billion or more in average total consolidated assets. The rescission is effective May 1, 2026.

Nasdaq MRX Co-Location Service Fee Schedule

The SEC published a notice that Nasdaq MRX, LLC filed a proposed rule change to establish fees for expanded co-location services under Release No. 34-105114. The proposed rule change was immediately effective upon filing. Nasdaq MRX is a registered options market and self-regulatory organization.

NYSE Arca filing to amend equities market data fees

NYSE Arca filing to amend equities market data fees

Nasdaq PHLX Co-Location Fee Schedule

The SEC published notice of Nasdaq PHLX's proposed rule change (SR-Phlx-2026-16, Release No. 34-105115) to establish fees for expanded co-location services. The filing was granted immediate effectiveness, allowing the exchange to implement the new fee structure for members seeking co-location space and connectivity services.

Cboe BZX Bitcoin ETF Rule Change

SEC published notice of Cboe BZX Exchange's proposed rule change to amend the ARK 21Shares Bitcoin ETF (Release No. 34-105120, File No. SR-CboeBZX-2026-020). The exchange filed under Section 19(b)(1) of the Securities Exchange Act with immediate effectiveness. This affects investors, broker-dealers, and market participants involved with Bitcoin ETFs.

Nasdaq ISE Co-Location Fee Proposal

The SEC published notice of Nasdaq ISE, LLC's proposed rule change (SR-ISE-2026-15) to establish fees for expanded co-location services. The filing was made under the Securities Exchange Act and became effective immediately upon filing. The proposed fees apply to firms utilizing co-location facilities at the exchange.

FINRA Rule 6272 Amendment - Odd-Lot Quotation Information Dissemination

FINRA filed a proposed rule change with the SEC to amend Rule 6272 (Character of Quotations) to modify the Alternative Display Facility's operation in response to SEC Regulation NMS requirements for odd-lot quotation information dissemination. The SEC noticed the filing under Release No. 34-105109 and File No. SR-FINRA-2026-006, effective immediately. Broker-dealers and market participants using the Alternative Display Facility should assess impacts to quotation and trading systems.

NYSE American Equities Market Data Fee Changes

The SEC approved NYSE American's filing to modify proprietary market data fees for its equities platform under Release No. 34-105119. The proposed changes affect fees for professional and non-professional subscribers accessing real-time and delayed market data products. NYSE American invoked the immediate effectiveness provision under SEC rules for self-regulatory organization fee filings.

Order Regarding Collateral Broker-Dealers May Pledge When Borrowing Customer Securities

The SEC issued an order establishing requirements for the collateral broker-dealers may pledge when borrowing customer securities. Release No. 34-105108 establishes permissible collateral types and conditions for securities borrowing arrangements. Broker-dealers engaging in customer securities borrowing must comply with the new collateral pledge requirements effective upon issuance.

NYSE American Short Term Options Series Program Amendment

The SEC published NYSE American's proposed rule change to amend the Short Term Options Series Program under Release No. 34-105111 and File No. SR-NYSEAMER-2026-26. The amendment modifies the list of securities eligible for short-term options listings and related Series 5 governing procedures. This SRO rule change was filed and made immediately effective on April 2, 2026.

NYSE Proprietary Market Data Fees Amendment

The SEC published NYSE's proposed rule change to amend proprietary market data fees under Release No. 34-105118 and File No. SR-NYSE-2026-15. The filing proposes modifications to the fee schedule for NYSE market data products. This affects broker-dealers, investment advisers, and other market participants who subscribe to or distribute NYSE proprietary market data.

Nasdaq Co-Location Fee Establishment

The SEC published notice that Nasdaq filed SR-NASDAQ-2026-021 to establish fees for its expanded co-location services. The filing was made effective immediately under Release No. 34-105112. Trading firms using or considering Nasdaq co-location should review the new fee structure.

Privacy Act System of Records FDIC-005 Modification

The FDIC is modifying Privacy Act system of records FDIC-005, renaming it from 'Consumer Complaint and Inquiry Records' to 'Consumer Complaint and Public Inquiry Records.' The agency is seeking public comment on four proposed routine uses and making non-substantive formatting improvements to the notice.

BaFin warns consumers about green-lmtd.com unauthorized trading

BaFin has issued a consumer warning about the website green-lmtd.com, which is suspected of offering banking, financial, investment, and cryptoasset services in Germany without the required authorization. The operators falsely claim supervision by the non-existent "European Financial Supervisory Authority" (FINA EU). BaFin advises consumers to verify company authorization using its public database.

Warning: Spectrum Equity Pulse GmbH Operating Without Authorization

BaFin issued a consumer alert warning that Spectrum Equity Pulse GmbH, operating the website spectrumequitypulse.com, is suspected of offering financial, investment, and cryptoasset services without the required authorization. The operators falsely claim to be supervised by BaFin and Deutsche Bundesbank and provided a fake "Business License" certificate. Consumers are advised to verify authorization status before engaging with any financial service provider.

BaFin Warning: crss.finance Unlicensed Financial Services Fraud

BaFin issued a consumer warning on 2 April 2026 regarding the website crss.finance, which is offering financial and cryptoasset services without the required authorization. The operators falsely claim to be a British company called "Ceres Finance Limited" - a case of identity fraud. BaFin has no information on this entity and warns consumers that banking and cryptoasset services may only be offered in Germany with BaFin authorization.

Warning Against uk-trd Investments Unauthorized Platform

BaFin issued a consumer warning on 2026-04-02 about the website uk-trd.investments, which is offering financial and cryptoasset services in Germany without required authorization. The operators falsely claim affiliation with the non-existent 'European Financial Authority' (FINA EU). BaFin warns consumers to verify company authorization status before investing.

BaFin warns about unauthorized trading platform brokereins.com

BaFin issued a consumer warning on April 2, 2026, regarding the website brokereins.com, which is offering banking business and financial services in Germany without the required authorization. The operators are not supervised by BaFin. This warning is issued under section 37(4) of the German Banking Act (KWG).

Zazoon AG Unlawful Share Offering Without Prospectus

BaFin issued a consumer warning on April 2, 2026, regarding Zazoon AG's suspected public offering of its own shares in Germany without the required BaFin-approved prospectus. Although Zazoon AG holds a prospectus approved by Liechtenstein's Financial Market Authority, no effective notification to Germany exists. Violations of the prospectus requirement carry fines of up to €5 million or 3% of total annual turnover.

BaFin warns of unauthorized financial and crypto services by Spectrum Equity Pulse GmbH

BaFin issued a consumer warning against Spectrum Equity Pulse GmbH operating the website spectrumequitypulse(.)com without required authorization. The company allegedly offers financial, investment, and cryptoasset services while falsely claiming supervision by BaFin and Deutsche Bundesbank. BaFin confirms the "Business License" certificate presented is fake, in violation of German financial services law.

Warning: Unauthorized Financial Services on green-lmtd.com

BaFin issued a consumer warning about the website green-lmtd.com, which is suspected of offering financial, investment, and cryptoasset services in Germany without required authorization. The operators falsely claim supervision by the non-existent 'European Financial Supervisory Authority (FINA EU)'. BaFin warns consumers to verify company authorization through its database and avoid engaging with unauthorized entities.

Warning: uk-trd.investments Unauthorized Financial Services

BaFin issued a consumer warning about uk-trd.investments, a website offering financial and cryptoasset services without the required authorization. The operators falsely claim to be "UK Trade & Invest" and allege authorization by the fictitious "European Financial Authority" (FINA EU). Consumers are advised to verify company authorization status in BaFin's company database before engaging with online investment platforms.

Warning: crss.finance Fraudulent Website Impersonating Ceres Finance

BaFin issued a consumer warning about the website crss.finance, which is offering banking, financial, and cryptoasset services in Germany without the required BaFin authorization. The operators falsely claim to be a British company called "Ceres Finance Limited," which BaFin confirms does not exist or is not connected to this operation—this constitutes identity fraud. The warning was issued under section 37(4) of the German Banking Act (KWG) and section 10(7) of the German Cryptomarkets Supervision Act (KAG).

Orange Cat Energy Technology Co. Ltd.: Warning on Missing Sales Prospectus

BaFin has issued a consumer protection warning indicating that Orange Cat Energy Technology Co. Ltd., a Hong Kong-based company, is publicly offering powerbank rental investments ('Gerätekooperation') in Germany without the legally required sales prospectus under § 6 VermAnlG. The authority provides a prospectus database for investors to verify registration status. This is an informational warning; BaFin does not evaluate the investment's merits or the issuer's credibility.

Warning: brokereins.com Unauthorized Financial Services

BaFin issued a consumer warning on April 2, 2026, alerting the public that operators of the website brokereins.com are offering banking business and financial services without the required authorization. The operators are not supervised by BaFin. The warning was issued under section 37(4) of the German Banking Act (KWG).

BaFin warns of unauthorized financial and crypto services by Gravmor

BaFin issued a consumer warning on April 2, 2026 alerting the public that Gravmor (gravmor.com) is operating an unauthorized financial and cryptocurrency trading platform from Hamburg. The entity claims to be regulated by the fictitious 'FINA EU' supervisory authority. Gravmor offers securities and crypto asset services without BaFin authorization, which is required under German law.

BaFin Consumer Warning: Unauthorized Crypto and Stock Trading via Bitwerk

BaFin issued a consumer warning against Bitwerk operating websites bitwerk.pro and bitwerk.vip for offering unauthorized banking, financial services, and crypto asset services without the required license or authorization. The entity also misappropriated the identity of Gesellschaft für Kryptoregisterführung mbH, a legitimate company based in Willich with no connection to the fraudulent websites.

FEMA Guarantee Reporting Requirements and Forms

The Reserve Bank of India issued A.P. (DIR Series) Circular No. 01 establishing new reporting requirements for guarantee transactions under FEMA (Guarantees) Regulations, 2026. Authorised dealer banks must report guarantee issuances, modifications, and invocations using three new forms (GRN Issue, GRN Modification, GRN Invocation) via the Centralised Information Management System within 30 calendar days of each quarter end. Each guarantee issuance requires a unique Guarantee Transaction Number.

Master Direction on Counterfeit Notes – Detection, Reporting and Monitoring

The Reserve Bank of India issued a Master Direction establishing consolidated requirements for banks on counterfeit currency note detection, reporting, and monitoring. The Direction codifies existing instructions and adds procedural requirements for branch-level detection, customer authentication protocols, and reporting timelines to RBI and law enforcement authorities. All banks regulated by RBI must comply with these detection and reporting standards.

Reserve Bank of India Trade Relief Measures Directions 2026

RBI issued Trade Relief Measures Directions 2026 (RBI/2025-26/263) effective March 31, 2026, extending export credit tenor to up to 450 days for pre-shipment and post-shipment financing. The directions allow regulated entities to permit enhanced credit periods and permit liquidation of packing credit facilities from alternate sources for exporters impacted by the West Asian crisis.

Lead Bank Assignment for New Kushavati District in Goa

RBI has designated State Bank of India as the Lead Bank for the newly created Kushavati district in Goa, effective March 30, 2026. The district, formed by the Government of Goa, has been assigned District Working Code '02W'. No changes have been made to Lead Bank assignments for other districts in Goa.

Master Direction on Currency Distribution Incentives and Penalties for Banks

The Reserve Bank of India has issued a Master Direction consolidating guidelines on incentives for currency distribution and exchange, along with penal provisions for bank branches and Currency Chests (CCs) deficient in customer service and reporting. The Direction references RBI/DCM/2026-27/393 and DCM (CC) No. G-3/03.06.001/2026-27. All previously issued circulars and Master Directions on this subject (listed in Annex III) are withdrawn with immediate effect.

One ISIL entry added to UN sanctions list

RBI issued notification RBI/2026-27/01 requiring regulated entities to implement updates to the UN Security Council ISIL (Da'esh) and Al-Qaida Sanctions List. One individual, Hamidah Nabagala (QDi.439), a Ugandan national born March 9, 1996, has been added to the list pursuant to UNSC resolutions 1267, 1989, and 2253. The individual is subject to assets freeze, travel ban, and arms embargo measures as set out in Security Council resolution 2734 (2024).

Revised Risk Management Directions for Authorised Dealers on INR Derivatives

RBI issued Circular No. 03 under A.P. (DIR Series) restricting Authorised Dealers from offering non-deliverable derivative contracts involving INR to any users. Deliverable FX derivatives remain permitted only where users do not hold offsetting non-deliverable positions. Rebooking of cancelled INR derivatives and related party transactions involving INR derivatives are also prohibited. Instructions are effective immediately under FEMA 1999.

Master Direction on Currency Exchange Procedures for Banks

The Reserve Bank of India issued a Master Direction consolidating all existing guidelines on the Facility for Exchange of Notes and Coins. The direction covers procedures for exchanging soiled, mutilated, and imperfect notes; coin distribution; grievance redressal; and monitoring requirements. All previous circulars listed in Annex II and earlier Master Circulars on the subject stand withdrawn from the effective date.

Overseas Investment References - Decentralized Regional Office Processing

The Reserve Bank of India has decentralized the processing of overseas investment references from its Central Office to seven Regional Offices (Ahmedabad, Bengaluru, Mumbai, Kolkata, New Delhi, Hyderabad, Chennai), effective April 1, 2026. Authorised Dealer Category I banks must now submit references through the PRAVAAH portal to the designated regional office based on the UIN (Unique Identification Number) prefix of the foreign entity. This administrative change is being made to the Master Direction - Overseas Investment dated July 24, 2024.

MoU between DFSA and Ministry of Economy and Tourism on Regulatory Cooperation

The Dubai Financial Services Authority (DFSA) and the UAE Ministry of Economy and Tourism signed a Memorandum of Understanding to enhance cooperation and information exchange regarding regulatory oversight of auditors and Designated Non-Financial Businesses and Professions (DNFBPs). The agreement supports shared objectives of maintaining transparency, accountability, and integrity while reinforcing joint efforts to combat money laundering, terrorism financing, and illicit activities.

Rescission of Recovery Planning Guidelines for Large Insured Banks

The OCC is rescinding its recovery planning guidelines at 12 CFR 30, appendix E, along with related handbook guidance and prior OCC bulletins on this topic. The final rule takes effect 30 days after Federal Register publication. Banks with less than $100 billion in average total consolidated assets are not affected.

CFTC v. Singh - FTX Engineering Fraud Disgorgement and Trading Ban

The CFTC announced a supplemental consent order against Nishad Singh, former FTX head of engineering, imposing $3.7 million in disgorgement, a five-year trading ban, and an eight-year registration ban. The order resolves the CFTC's enforcement action based in part on Singh's cooperation, including his guilty plea in the parallel criminal case United States v. Singh to six counts including conspiracy to commit commodities fraud.

Inner Safety Project trademark, mental health services

USPTO received trademark application TM99737274 for 'INNER SAFETY PROJECT' in Class 36 (Insurance & Financial Services). The application covers charitable fundraising for mental health and trauma recovery research, association services promoting mental health awareness, and educational services. Filed March 31, 2026 under Intent to Use basis.

Deputy Governor Kozicki media interview on The Low Down

Bank of Canada Deputy Governor Sharon Kozicki gave an interview to The Low Down, a publication that appears both online and in print. The interview will cover economic and monetary policy topics. No new regulatory requirements, policy changes, or compliance obligations were announced.