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FCA Increases Financial Ombudsman Award Limits

The FCA has confirmed increases to the Financial Ombudsman Service award limits, effective 1 April 2026. The limit for complaints about acts or omissions on or after 1 April 2019 rises to £455,000 (up £10,000), while the limit for earlier complaints rises to £205,000 (up £5,000). These annual adjustments are made in line with CPI inflation.

Banknote Circulation and Payment Statistics

Sveriges Riksbank published updated statistics showing Swedish banknote and coin circulation decreased 2.6% year-over-year. Payment values settled through the RIX-RTGS interbank system declined 4.9% compared to the prior year. The Riksbank reports that 98.5% of applications to redeem invalid banknotes are granted.

Swedish Interest Rates, Exchange Rates, and SWESTR Statistics

The Riksbank published routine statistical data including the policy rate (1.75% effective 25 March 2026), exchange rates as of 31 March 2026 (EUR/SEK: 10.943, GBP/SEK: 12.60235, NOK/SEK: 0.97596, USD/SEK: 9.51731), and the SWESTR overnight rate (1.681% with volume 68,358 MSEK across 182 transactions). The reference rate is set at 2.00% for the period January through June 2026.

Riksbank Maintains 2% CPIF Inflation Target

Sveriges Riksbank maintains its 2% inflation target for CPIF and current policy rate of 1.75%, effective 25 March 2026. February 2026 CPIF came in at 1.7%, slightly below target. Recent speeches by Riksbank officials including Per Jansson, Erik Thedéen, and Anna Seim discuss inflation vigilance and buffer usability.

News and Calendar Index - Banks, Inflation, Buffers, Events

The Riksbank published news items including an analysis showing major Swedish banks are at the centre of a closely interconnected financial network, a speech by Per Jansson on inflation in uncertain times, and a speech by Erik Thedéen arguing that capital buffers should be usable. Calendar events include the IMF Spring Meetings on April 13, 2026.

Financial Stability Overview Hub

The Swedish central bank published a financial stability overview hub linking to recent publications including analysis on major Swedish banks' network interconnections, trends in capital rules, and commentary on countercyclical capital buffer usability. The hub aggregates access to the Financial Stability Report and related policy communications.

Repo Market Participant Lending Relationships and Net Positions

The Office of Financial Research published a brief analyzing participation in the U.S. repo market, examining lending relationships and quantifying outstanding repo positions by financial institution type. The analysis focuses on the NCCBR (non-centrally cleared bilateral repo) segment, identifying which participants act as net lenders versus net borrowers and visualizing two-way cash flows between broker-dealers, banks, and hedge funds.

Gilt Repo Market Resilience - Feedback Statement

The Bank of England published a feedback statement on April 1, 2026 summarising responses to its September 2025 discussion paper on enhancing gilt repo market resilience. Respondents broadly supported the objective but raised concerns about proportionality of central clearing mandates and minimum haircuts on non-centrally cleared transactions. The Bank will continue engaging with market participants on proposed reforms, with FCA collaboration and input from HM Treasury.

Fake Entities Flaven Law Chambers and ApexKrest Bank Advance Fee Fraud Warning

The Guernsey Financial Services Commission issued a consumer warning on April 1, 2026, alerting the public to an advance fee fraud scheme involving fake documents issued in the Commission's name. The scheme uses two fraudulent entities—Flaven Law Chambers (fake law firm) and ApexKrest Bank (fake bank)—that falsely claim to be Guernsey-based. The Commission is taking steps to close associated websites.

NYSE Rights Listing Expansion Amendment

The SEC issued a notice extending the review period for NYSE's proposed rule change to expand rights listing circumstances under Section 703.12(II) of the NYSE Listed Company Manual. The original 45-day review period expiring April 3, 2026 has been extended to May 18, 2026 (File No. SR-NYSE-2026-05). No comment letters were received during the initial comment period.

SEC Approves CAT NMS Plan Amendment Reducing Consolidated Audit Trail Costs

The SEC approved amendments to the CAT NMS Plan implementing cost savings measures for the Consolidated Audit Trail system. CAT LLC filed the proposed amendment on behalf of Plan Participants. The 2024 Cost Savings Amendment achieved approximately $30 million in annual savings, and this amendment builds on those efforts to further reduce CAT operating costs.

Nasdaq MRX GPS Antenna Service Removal Date Extension

The SEC published a notice on March 27, 2026, soliciting comments on Nasdaq MRX's proposed rule change to extend the date for terminating dedicated GPS antenna services at its co-location facility in Carteret, NJ. The original termination date of April 1, 2026, is being extended to allow existing customers additional time to transition to shared GPS antenna services or remove their equipment.

Nasdaq GPS Antenna Removal Deadline Extension

The SEC published Nasdaq's proposed rule change to extend the deadline for removing dedicated GPS antennas from co-location services at the Carteret, NJ data center. The original compliance date of April 1, 2026 would be extended to allow existing customers additional time. The Exchange filed SR-NASDAQ-2026-019 on March 19, 2026, and the SEC is soliciting public comments on the proposal.

Nasdaq GEMX GPS Antenna Service Removal Date Extension

The SEC published Nasdaq GEMX's proposed rule change to extend the deadline for terminating dedicated GPS antenna co-location services under Rule General 8, Section 1(d). The Exchange originally set the removal date as April 1, 2026, and now proposes to extend that date. The SEC is soliciting public comments on the proposed change.

Schedule 13E-4F Paperwork Reduction Act Extension Request

The SEC filed notice with OMB seeking renewal of the previously approved collection of information for Schedule 13E-4F, used by Canadian foreign private issuers making cash tender or exchange offers when less than 40% of the securities are held by U.S. holders. The estimated annual burden is 3 hours (3.33 hours per response × 1 response). The public may comment on this information collection request within 30 days by May 4, 2026.

SEC deregistration application, Investment Company Act, March 2026

SEC deregistration application, Investment Company Act, March 2026

CSA Project Tokenization Stakeholder Workshop Invitation

The Canadian Securities Administrators (CSA) has launched Project Tokenization to examine how distributed ledger technology intersects with Canada's securities laws and is inviting stakeholders to participate in regulatory workshops in Calgary (April 9, 2026) and Toronto (June 11, 2026). The initiative will explore opportunities and risks of tokenization through stakeholder engagement, issue mapping, and targeted research.

UK Financial Services Regulatory Digest - Operational Resilience Updates

The PRA published its March 2026 Regulatory Digest summarizing six final policy statements and one consultation covering operational resilience, resolution planning, disclosure requirements, and liquidity framework modernization. Key publications include PS7/26 on operational incident and third-party reporting, PS10/26 on resolution assessment thresholds, and CP5/26 on modernizing the liquidity policy framework.

High Loan-to-Income Mortgage Lending Consultation

The Prudential Regulation Authority (PRA) has published Consultation Paper CP6/26 seeking views on proposed amendments to prudential requirements for high loan-to-income (LTI) mortgage lending. The consultation invites responses from mortgage lenders, trade associations, and other stakeholders by 1 July 2026. This is part of the PRA's ongoing review of its macroprudential toolkit to ensure the regulatory framework remains effective for managing systemic mortgage risk.

Extension of Schedule 13E-4F Information Collection Requirements

The SEC has submitted to OMB a request to extend the information collection requirements for Schedule 13E-4F (17 CFR 240.13e-102). This schedule may be used by Canadian foreign private issuers to make cash tender or exchange offers when less than 40 percent of securities are held by U.S. holders. The collection takes approximately 3.33 hours per response with 1 response annually, resulting in 3 hours total annual burden. The public may comment on this extension request through May 4, 2026.

Rule 15c3-1 Paperwork Reduction Act Extension Comment Request

The SEC published a notice requesting public comments on extending OMB Control No. 3235-0200, which covers the information collection requirements of Rule 15c3-1 under the Securities Exchange Act of 1934. Rule 15c3-1 requires broker-dealers to maintain sufficient liquid assets to meet current liabilities and customer claims. The SEC estimates broker-dealer respondents incur approximately 67,773 hours of annual time burden and $133,867 in aggregate annual costs to comply. Comments are due by June 1, 2026.

Eaton Vance Income Opportunities ETF, SEC deregistration, Section 8(f)

Eaton Vance Income Opportunities ETF, SEC deregistration, Section 8(f)

Rule 15c2-11 Information Collection Extension Comment Request

The SEC published a 60-day notice under the Paperwork Reduction Act seeking public comments on the information collection requirements of Rule 15c2-11, which governs broker-dealer publication of OTC securities quotations. The notice extends the comment request and invites feedback on the estimated annual burden of 1,771,343 hours affecting approximately 196 broker-dealers, one QIDQS, and one RNSA.

Fifty-Sixth Amendment to Nasdaq UTP Plan - Nasdaq Texas Name Change and TSE Admission

The SEC published notice of the 56th Amendment to the Nasdaq UTP Plan, effective March 12, 2026 upon filing. The amendment reflects the name change of Nasdaq BX, Inc. to Nasdaq Texas, Inc. and admits Texas Stock Exchange LLC as a new Participant to the UTP Plan. The amendment was filed as a "Ministerial Amendment" under Section XVI of the UTP Plan.

NYSE Rights Offering Listing Standards - SEC Review Period Extended

The SEC issued a notice extending the review period for NYSE's proposed rule change to amend Section 703.12(II) of the NYSE Listed Company Manual, which would expand circumstances under which rights may be listed. The original 45-day review period expiring April 3, 2026, has been extended to May 18, 2026. This is a standard administrative action under Section 19(b)(2) of the Securities Exchange Act of 1934.

Nasdaq ISE extends GPS antenna service removal date

The SEC published notice that Nasdaq ISE, LLC filed SR-ISE-2026-11 to extend the designated date for removal of dedicated GPS antenna service under Rule General 8, Section 1(d) (Co-Location Services). The Exchange's GPS antenna service allows co-location customers at the NY 11 data center in Carteret, NJ to synchronize time recording systems to GPS network time. The rule change is effective immediately upon filing.

Daily Federal Register Issue Index

The Office of the Federal Register published its daily index for April 1, 2026, cataloging 92 documents across 36 federal agencies. The issue contains 79 notices, 4 proposed rules, 9 final rules, and 3 significant documents spanning 388 pages.

Nasdaq Texas extends GPS antenna service removal deadline

The SEC published Nasdaq Texas LLC's filing to extend the designated removal date for dedicated GPS antenna service at its Carteret, NJ co-location facility (NY 11). The Exchange's Rule General 8, Section 1(d) governs this co-location service, which provides time synchronization to GPS network time for customers' transactional timestamping needs. This is the second extension of the removal deadline for existing GPS antenna customers.

Nasdaq GEMX extends GPS antenna service removal date

The SEC published Nasdaq GEMX's filing to extend the designated date for removal of dedicated GPS antenna service under Rule General 8, Section 1(d). The exchange's co-location customers in the Carteret, NJ data center who use GPS antenna services for time synchronization must remove equipment by the new extended date. The rule change was granted immediate effectiveness.

Wide Market Protection Mechanism for Trading Sessions

The SEC published notice of Cboe Exchange's proposed rule change to amend Rule 5.34(a)(5), expanding the wide market protection mechanism to apply on a trading session-by-trading session basis in addition to the existing class-by-class approach. The proposal would permit the Exchange to determine applicability of this risk control mechanism for each trading session (RTH and Curb) separately, with the protection still not applying during a predetermined time prior to close. Comments are being solicited on SR-CboeOptions-2026-019.

Texas Stock Exchange warrant performance incentive program

The SEC published Texas Stock Exchange LLC's proposed rule change to implement the Rodeo Program, a warrant performance incentive program for Exchange Members. Under the Program, Members who prepay $250,000 and meet liquidity volume thresholds will receive warrants to purchase equity in TXSE Group Inc. The Program runs from September 1, 2026 through August 31, 2027. Comments are being solicited from interested persons.

NYSE Arca proposes broker credit cap waiver 26th Mar

NYSE Arca proposes broker credit cap waiver 26th Mar

Regan Capital Alternative Income Fund Exemption Request

The SEC published a notice of application filed by Regan Capital Alternative Income Fund and Regan Capital, LLC under section 6(c) of the Investment Company Act of 1940. The applicants request exemptions from sections 18(a)(2), 18(c), and 18(i), rule 23c-3, and section 17(d) to permit registered closed-end investment companies to issue multiple classes of shares and impose asset-based distribution/service fees and early withdrawal charges. Hearing requests must be received by April 20, 2026.

Nasdaq MRX Extended Trading Hours for Equity and Index Options

The SEC published notice on March 26, 2026 that Nasdaq MRX filed a proposed rule change to adopt Extended Trading Hours (ETH) for certain eligible index options (NDX, NDPX, XND) and multi-listed equity options. The proposal would establish an Early ETH Session from 7:30 a.m. to 9:25 a.m. Eastern Time and an Extended Close trading session until 4:15 p.m. for eligible options. Comments are due by April 25, 2026.

SIPC Cash Advance Threshold - No Inflation Adjustment

The SEC approved SIPC's determination to maintain the standard maximum cash advance amount at $250,000 per customer for the five-year period beginning January 1, 2027. The SIPC Board weighed factors including the state of the SIPC Fund and economic conditions against the formula-driven increase to $350,000, deciding no adjustment was appropriate. No public comments were received during the review period.

Inflation Adjustments to Qualified Client Thresholds for Performance Fees

The SEC issued a notice of intent to issue an order adjusting inflation thresholds for qualified client tests under Investment Advisers Act Rule 205-3. The order would increase the minimum net worth threshold (currently $1,500,000) and the minimum assets-under-management threshold (currently $750,000) that determine when investment advisers may charge performance-based fees. These adjustments are required every five years under Dodd-Frank Act Section 205(e).

NYSE American Options Fee Schedule Changes for Non-Customers and Floor Brokers

NYSE American LLC filed a proposed rule change with the SEC to modify its Options Fee Schedule. The Exchange proposes to extend the $0.12 per contract Non-Customer Complex Surcharge to Manual non-Simple orders executing against Customer Manual non-Simple orders, and to establish a new rebate for Floor Broker orders trading with Floor Market Maker orders. The proposed effective date is March 10, 2026.

Athena Inspire Trademark Application - Investment Services

The USPTO published a trademark application for ATHENA INSPIRE (Serial No. TM98938414) covering investment advisory services, capital investments, hedge fund and mutual fund services, online business fundraising, charitable fundraising, educational services, business networking events, and social networking for businesses. The application was filed on January 5, 2025, under an Intent-to-Use basis.

DAITO Trademark Application - Intent to Use

USPTO published a trademark application for DAITO (TM98825190) under Class 036 (Insurance & Finance), covering electronic parking systems, mechanical parking equipment, and software for parking reservation management. The application was filed March 31, 2026, as an Intent to Use filing.

Leaseconfirm Trademark Application - Real Estate Services

USPTO received trademark application TM98814693 for LEASECONFIRM filed October 22, 2024. The application covers real estate services including lease arrangement, brokerage, management consultation, and valuation. This is an Intent-to-Use application with a deadline of March 31, 2026 to demonstrate commercial use.

Novi trademark filing, charitable fundraising services, 31st Mar

Novi trademark filing, charitable fundraising services, 31st Mar

PHD IN RIA Trademark Application - Financial Services

The USPTO received an Intent to Use trademark application (TM98851731) for PHD IN RIA covering financial advisory services, wealth management, and capital investment consultancy. The application, filed November 13, 2024, specifies services in Class 36 and remains in draft/pending status.

Trademark Application for Parkinson's Education Services

The USPTO received trademark application TM98918963 for an Intent to Use filing covering educational services related to Parkinson's disease. The application includes classes, seminars, webinars, podcasts, blogs, videos, printed materials, charitable fundraising, and downloadable publications. Filed December 23, 2024, the application is currently in draft/pending status with publication expected March 31, 2026.

Tomorrow Starts Now trademark for Parkinson's education services

The USPTO received a trademark application (TM98918938) for 'Tomorrow Starts Now' filed by an unnamed applicant on December 23, 2024. The mark covers educational services related to Parkinson's disease including classes, seminars, webinars, podcasts, and printed materials. The filing is based on Intent to Use, with a development deadline of March 31, 2026.

OCC Meeting with BlackRock on Regulatory Matters

The Office of the Comptroller of the Currency published a meeting summary documenting a discussion with BlackRock representatives on regulatory matters. The document provides transparency into examiner-industry dialogue but contains no new regulatory requirements, policy changes, or compliance deadlines.

Extension of Rule 203-2 and Form ADV-W Investment Adviser Withdrawal Procedures

The SEC has issued a notice requesting public comments on extending OMB Control No. 3235-0313, covering Rule 203-2 and Form ADV-W under the Investment Advisers Act of 1940. The collection establishes procedures for investment advisers to withdraw their SEC registration electronically via IARD. The SEC estimates approximately 880 full withdrawals and 673 partial withdrawals annually, totaling 828.25 burden hours.

NYSE American Initial Listing Standards Amendment

The SEC granted accelerated approval to NYSE American's Amendment No. 1 (SR-NYSEAMER-2026-02) modifying initial listing standards in Sections 101 and 102 of the NYSE American Company Guide. The rule change increases quantitative requirements for initial listing and introduces enhanced liquidity standards for listed securities, with conforming changes to Section 1003(b)(i).

Nasdaq PHLX Extends GPS Antenna Service Removal Deadline

The SEC published notice that Nasdaq PHLX LLC filed a proposed rule change to extend the designated removal date for the Exchange's dedicated GPS antenna service under Rule General 8, Section 1(d). The service, which provides time synchronization for co-location customers at the NY 11 data center in Carteret, NJ, will have its termination deadline extended. The filing was designated as immediately effective under File No. SR-Phlx-2026-14.

Nasdaq extends designated date for GPS antenna service removal

Nasdaq extends designated date for GPS antenna service removal

Request for Comments on Extension of Rule 8c-1 Information Collection

The SEC published a notice requesting comments on extending Rule 8c-1 information collection requirements under the Paperwork Reduction Act. Rule 8c-1 regulates broker-dealer use of customer securities as collateral, prohibiting commingling and requiring written notifications to pledgees. Approximately 54 broker-dealers would be affected, with an estimated 2,430 annual responses generating 1,215 burden hours.