Searching in Banking & Finance · Search everything
3,950 changes Banking & Finance
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.
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.
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.
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.
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.
Nasdaq extends designated date for GPS antenna service removal
Nasdaq extends designated date for GPS antenna service removal
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.
Consolidated Audit Trail Amendment Reducing Costs
The SEC approved an amendment to the National Market System Plan governing the Consolidated Audit Trail (CAT NMS Plan) to implement cost savings measures. CAT LLC, on behalf of the Participants, proposed the amendment to reduce the costs associated with the Consolidated Audit Trail. The Commission found the amendment appropriate in the public interest and for the protection of investors.
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.
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 MRX Extends GPS Antenna Service Removal Deadline
The SEC published notice that Nasdaq MRX, LLC filed a proposed rule change to extend the designated date for removal of dedicated GPS antenna service under General 8, Section 1(d) (Co-Location Services). The Exchange operates a GPS antenna service at its Carteret, NJ data center allowing customers to synchronize time recording systems to GPS network time. Existing customers with dedicated GPS antennas may continue using the service pending the extended removal deadline.
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.
OCC rescinds recovery planning guidelines for large banks
The OCC has issued a final rule rescinding its 2016 Recovery Planning Guidelines (12 CFR Part 30, Appendix E) that applied to large insured national banks, federal savings associations, and federal branches with $250 billion or more in assets. The agency cites ongoing assessment of its supervisory framework to eliminate unnecessary regulatory burden as the rationale. The rule is effective May 1, 2026.
Consumer Compliance Supervisory Highlights
The FDIC published its annual Consumer Compliance Supervisory Highlights for 2026, summarizing consumer compliance supervisory activities and issues identified through 2025 examinations of state non-member banks and thrifts. The report covers overall performance, most frequently cited violations, and consumer complaint trends.
Consumer Compliance Supervisory Highlights 2026
The FDIC issued the 2026 Consumer Compliance Supervisory Highlights, summarizing consumer compliance issues identified in 2025 through supervision of state non-member banks and thrifts. The publication includes overall performance summaries, most frequently cited violations, and consumer complaint trends. This is an annual transparency report providing oversight insights rather than new regulatory requirements.
FASB issues 12 new ASUs for 2025 plus 2024 updates
The FASB has issued comprehensive accounting standards updates for 2025, including 12 new ASUs covering topics from government grants to credit losses. ASU 2025-12 addresses Codification Improvements, while ASU 2025-10 introduces new guidance for Government Grants received by business entities. Significant updates include ASU 2025-09 Hedge Accounting Improvements, ASU 2025-05 Measurement of Credit Losses for accounts receivable, and ASU 2025-03 VIE Acquisitions guidance on determining the accounting acquirer in VIE acquisitions. Other notable 2025 updates cover Internal-Use Software accounting and Share-Based Consideration payable to customers. From 2024, ASU 2024-03 Expense Disclosures introduces major disaggregation requirements, while ASU 2024-01 Profits Interest clarifies profits interest awards. Prior significant updates include ASU 2023-09 Income Tax Disclosures, ASU 2023-08 Crypto Assets accounting guidance, and ASU 2023-07 Segment Reporting improvements.
First Citizens Bancshares renewed TM98771231, Mar 31
First Citizens Bancshares renewed TM98771231, Mar 31
Updated OTC Derivatives Compliance Calendar
ISDA published its updated global OTC derivatives compliance calendar for April 2026, consolidating regulatory deadlines and compliance dates across multiple jurisdictions including the US, EU, UK, and Asia-Pacific. The calendar covers derivatives regulations under frameworks including EMIR, Dodd-Frank, Basel III, and MiFID II. No new regulatory requirements are created by this calendar update.
Administrative Monetary Penalty on BKRM for Cybersecurity and Customer Information Breaches
Bank Negara Malaysia imposed a RM1,000,000 Administrative Monetary Penalty on Bank Kerjasama Rakyat Malaysia Berhad (BKRM) for failing to implement robust cybersecurity standards under the Risk Management in Technology Policy Document and inadequate safeguards for customer information under the Management of Customer Information and Permitted Disclosures Policy Document. The breaches followed a cybersecurity incident where an external threat actor gained unauthorized access to BKRM's IT infrastructure.
ROC Real Estate Partners Intent-to-Use Trademark Application
The USPTO published a notice regarding trademark application TM90092202 for 'ROC REAL ESTATE PARTNERS', filed August 4, 2020, covering education services in real estate management and real estate agency management and brokerage services. The application is filed under Intent-to-Use provisions.
KPMG AIQ - Trademark Application (Class 36: Financial Services)
USPTO published notice of trademark application TM98532412 for 'KPMG AIQ' in Class 36 (Insurance and Finance). The application, filed by KPMG on intent-to-use basis, covers financial consulting, risk assessment, investment services, and related software platforms including AI-based analytics and cybersecurity risk management tools.
MARKETSURGE Trademark Application for Financial Information Services
The USPTO published trademark application TM97926322 for 'MARKETSURGE' filed by an unnamed applicant on May 8, 2023. The mark covers financial information services, investment news platforms, educational workshops on financial investing, downloadable software applications, and advertising services. The application is classified under Nice Class 036 (Insurance & Finance).
CSA Invites Stakeholders to Tokenization Workshops in Calgary, Toronto
The Canadian Securities Administrators (CSA) has launched Project Tokenization under its CSA Collaboratory initiative to examine tokenized financial products in the capital markets and their intersection with Canadian securities laws. The CSA is inviting stakeholders including fintechs, issuers, financial institutions, developers, and legal professionals to participate in regulatory workshops scheduled for Calgary on April 9, 2026 and Toronto on June 11, 2026. This initiative will explore opportunities and risks of tokenization through stakeholder engagement, issue mapping, and targeted research, with potential subsequent phases including a discussion paper or live testing of tokenized instruments.
Stricter VASP Entry and AML Rules
The Financial Services Commission of Korea proposed amendments to the Enforcement Decree of the Act on Reporting and Using Specified Financial Transaction Information to strengthen VASP registration requirements and AML duties. Key changes include expanded major shareholder scrutiny, new financial soundness requirements (200% debt ratio cap), and extension of the travel rule to transactions below KRW 1,000,000. The FSC seeks public comment on these proposals.
February 2026 Monetary Statistics - Deposit and Loan Growth
The Hong Kong Monetary Authority published February 2026 monetary statistics showing total deposits with authorized institutions increased 0.9% month-over-month. Hong Kong dollar deposits decreased 0.2% while foreign currency deposits increased 1.7%. Renminbi deposits rose 3.6% to RMB1,029.3 billion, with cross-border trade settlement remittances totaling RMB866.5 billion.
HKMA Bulletin on Hong Kong Bond Market
The Hong Kong Monetary Authority published Bulletin Issue 01/2026, which contains a statistical article titled 'The Hong Kong Bond Market in 2025'. The bulletin provides an overview and analysis of bond market activity in Hong Kong for 2025. This is an informational publication with no new regulatory requirements.
Scam Alert - Fraudulent Banking Websites
The Hong Kong Monetary Authority issued a scam alert warning the public about fraudulent websites and phishing scams targeting customers of four Hong Kong banks: The Bank of East Asia, Shanghai Commercial Bank, Chong Hing Bank, and OCBC Bank (Hong Kong). The HKMA reminded the public that banks will not send SMS or emails with embedded hyperlinks requesting sensitive information such as login passwords or One-Time Passwords.
Exchange Fund Abridged Balance Sheet and Currency Board Account
The Hong Kong Monetary Authority released February 2026 Exchange Fund data showing total assets of HK$4,293.5 billion as at 28 February 2026, an increase of HK$7.9 billion from January 2026. Foreign currency assets increased by HK$47.4 billion while Hong Kong dollar assets decreased by HK$39.5 billion. The Backing Ratio increased to 111.32%.
Foreign Currency Reserves Data Release
The Hong Kong Monetary Authority released monthly analytical data on Hong Kong SAR's foreign currency reserves and foreign currency liquidity as at end of February 2026. The data is published in the Template on International Reserves and Foreign Currency Liquidity under the IMF's Special Data Dissemination Standard. This is a routine monthly statistical release providing transparency on Hong Kong's reserve position.
Residential Mortgage Survey Results - February 2026
The Hong Kong Monetary Authority released February 2026 residential mortgage survey results showing a 10.8% month-on-month decline in mortgage approvals to HK$29 billion. Applications decreased 7.5% to 8,125, while drawn loans fell 24.4% to HK$16.4 billion. The mortgage delinquency ratio remained low at 0.13% and outstanding mortgage loans increased 0.2% to HK$1,926.3 billion.
Exchange Fund Bills Tender Results
The HKMA announced results of two Exchange Fund Bills tenders conducted on 31 March 2026. Issue Q2613 attracted HK$133.6B in applications with HK$69.5B allotted at average yield of 1.90%. Issue H2642 attracted HK$55.5B in applications with HK$20B allotted at average yield of 2.11%. This is routine market data publication with no regulatory implications.
MAC Federal Credit Union Merger with Credit Union 1
NCUA received a merger application from MAC Federal Credit Union to merge with Credit Union 1. The filing is under review with a public comment deadline of May 28, 2026. This is a routine credit union merger notice subject to NCUA approval procedures.
MAC Federal Credit Union Member Notice Supporting Merger
NCUA received a member notice from MAC Federal Credit Union in support of a merger docket (NCUA-2026-0694). The notice documents member sentiment regarding the proposed credit union merger. This submission is part of the regulatory record for the NCUA to consider when evaluating merger applications.
FCA Regulatory Priorities Report on Private Market Funds
The UK FCA published its Regulatory Priorities Report for the Wholesale Buy Side sector on 16 March 2026, replacing portfolio letters and outlining supervisory priorities for private markets over the next 18-24 months. The report emphasizes high standards for valuations, conflicts of interest management, and responsible retail access to private markets.
Regulators Address Innovation and Technology at SIFMA Conference
SEC, CFTC, and FINRA representatives at the SIFMA 2026 Compliance & Legal Annual Seminar discussed regulatory priorities including support for capital markets innovation, improved cross-agency coordination on crypto assets, and a shift away from regulation by enforcement. SEC Chairman Atkins outlined an 'Advance-Clarify-Transform' framework and proposed an innovation exemption for tokenized securities experimentation.
JMLSG Revises AML/CTF Guidance for UK Compliance
The Joint Money Laundering Steering Group published substantive revisions to Part I of its AML/CTF guidance on 4 February 2026, updating MLRO responsibilities to include explicit cross-border and group oversight requirements. The revisions to Chapters 3 and 6 also align data protection provisions with UK GDPR and the Data (Use and Access) Act 2025, replacing the previous 40-day response period with the UK GDPR one-month standard.
Export Realization Timeline Extension for Indian Exporters
Reserve Bank of India has extended the enhanced export credit period of 450 days for disbursals made until June 30, 2026, in response to continuing logistical disruptions from the West Asia crisis. This extends an earlier measure that had been set to expire March 31, 2026. The 15-month timeline for realization and repatriation of export proceeds, originally extended from 9 months in November 2025, remains in force.
NCUA Prohibition Orders for Bank Fraud and Theft Convictions
The National Credit Union Administration issued two conviction-based prohibition orders in March 2026 against Daniel Johnson and Jacqueline Burns. Johnson was convicted of bank fraud in the U.S. District Court for the Southern District of Indiana, while Burns was convicted of theft of property valued between $150,000 and $300,000 in Galveston County, Texas. Both individuals are permanently prohibited from participating in the affairs of any federally insured depository institution.
Canadian Economy and Cyber Risk Assessment Fireside Chat
OSFI Superintendent Peter Routledge delivered remarks at Bank of America's Expert Insights Series on March 30, 2026, discussing the resilience of Canada's financial system amid geopolitical uncertainty. He highlighted cyber threats and integrity risks as key concerns, noting that Canada's banking sector has remained stable despite global volatility. The speech also addressed proposed capital adequacy framework recalibrations and growing non-bank financial intermediary (NBFI) lending.
SEC fines adviser $500k for cash-sweep disclosure failures
The SEC settled an enforcement action against an investment adviser for failing to disclose conflicts of interest in its Cash-Enhanced Accounts, which allocated 30% of client funds to cash deposited with an affiliated bank. The adviser received affiliate revenue from these deposits while charging no advisory fee, creating incentives to maintain high cash allocations. The SEC found additional violations for misleading Modern Portfolio Theory disclosures. The firm was ordered to pay a $500,000 civil penalty and must notify all affected current and former clients.
SDNY Limits Automatic Renewals of Letters of Credit
The U.S. District Court for the Southern District of New York held that a commonly used auto-extension clause in a letter of credit (LC) did not create an evergreen or perpetual instrument, causing the LC to expire after a single one-year extension despite no notice of nonrenewal being sent. The court interpreted the phrase 'any future expiration date' as merely preserving the possibility of later amendments, not providing for indefinite renewal. Credit facilities more than two years old that rely on LCs as collateral may face LC validity issues.
AIFMD II Loan Origination Rules for Credit Funds
The European Union is implementing AIFMD II on 16 April 2026, establishing harmonised loan origination rules for alternative investment funds. The new rules require credit fund managers to maintain documented credit policies with annual reviews, adhere to a 20% concentration limit per borrower, retain 5% of originated loan notional values, and comply with prohibitions on certain borrowers and originate-to-distribute strategies. EU-authorised managers managing any fund (EU or non-EU) that engages in loan origination are affected.
Virginia court defines evident partiality in FINRA arbitration
Virginia court defines evident partiality in FINRA arbitration
Knapp v. Barclays PLC - Reverse Split Not a Securities Sale
The Second Circuit in Knapp v. Barclays PLC held that Barclays' mandatory 4:1 reverse split of VXX ETNs did not constitute a 'sale' under Section 12(a)(1) of the Securities Act of 1933. The court also held that plaintiffs failed to satisfy the tracing requirement for a Section 11 claim. The decision establishes that mechanical corporate actions require functional analysis of whether there is significant change in the nature of the investment to constitute a new securities transaction.
DOL proposes fiduciary rule for 401(k) alternative assets
The U.S. Department of Labor issued a proposed rule establishing a process-based fiduciary framework for including alternative assets (private equity, real estate, other illiquid investments) in 401(k) plan investment menus. The proposal creates a six-topic safe harbor checklist that, if followed with proper documentation, entitles fiduciaries to a presumption of prudence. Plan sponsors, 401(k) providers, and investment managers evaluating alternative investments for retirement plans will be affected.
Cards, Payments, and Consumer Banking Regulatory Trends Summary
Goodwin Procter's March 2026 summary reports that CFPB regulators retreated from enforcement in 2025, collecting $372 million in civil money penalties across 12 actions while terminating or dismissing three enforcement cases. The FTC, OCC, and state attorneys general assumed larger oversight roles as the CFPB scaled back its rulemaking, including ending the late fee rule.
CFPB open banking revisions, fintech partnerships, enforcement actions
CFPB open banking revisions, fintech partnerships, enforcement actions