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MIAX Sapphire Proposes Temporary Decrease to Options Regulatory Fee

MIAX Sapphire has filed a proposed rule change with the SEC to temporarily decrease its Options Regulatory Fee (ORF) from $0.0013 to $0.0011 per contract. This reduction is planned to be in effect from March 1, 2026, to June 30, 2026, and is intended to recover a portion of the exchange's regulatory costs.

Nasdaq Co-location Services Expansion Proposal

The SEC is soliciting comments on a proposed rule change by Nasdaq to expand its co-location services. The proposal includes offering new cabinet and power options, specifically a liquid-cooled cabinet, in Nasdaq's expanded data center to accommodate higher power densities and enable greater computing power deployment.

Nasdaq Proposed Rule Change for TNO Cross Connect Service

The SEC is soliciting comments on a proposed rule change by Nasdaq to introduce a new telecommunications network operator (TNO) connectivity service called 'TNO Cross Connect' within its data center campus. This service will provide a specific component of telco-to-customer connectivity.

Cboe EDGX Exchange Proposed Rule Change: Fee Waiver for Internal Distributors

The Cboe EDGX Exchange has filed a proposed rule change with the SEC to amend its Fee Schedule. The proposal introduces a new fee waiver for eligible Internal Distributors of the EDGX Depth Data Feed, aiming to facilitate system setup for new distributors. The SEC is soliciting comments on this proposal.

Nasdaq MRX LLC Co-location Services Rule Change Proposal

Nasdaq MRX LLC has proposed a rule change to expand its co-location services by introducing new cabinet and power options, including a liquid-cooled cabinet, in its expanded data center. The SEC is soliciting public comments on this proposal.

SEC Notice: RBB Fund Trust and M.D. Sass, LLC Application for Exemption

The SEC has issued a notice regarding an application from The RBB Fund Trust and M.D. Sass, LLC. The applicants seek an exemption from certain provisions of the Investment Company Act of 1940 and related disclosure rules to allow for subadvisory agreements without shareholder approval and to modify fee disclosure requirements.

SEC Notice: Nasdaq PHLX LLC Proposed Rule Change for TNO Cross Connect

The SEC has published a notice regarding a proposed rule change by Nasdaq PHLX LLC to introduce a new telecommunications network operator (TNO) connectivity service called 'TNO Cross Connect' within its data center campus. The Exchange will submit a separate filing for associated fees.

NYSE rule change amendment proceedings initiated

NYSE rule change amendment proceedings initiated

NYSE American LLC Proposed Rule Change to Company Guide Section 1003

The SEC has published a notice regarding a proposed rule change by NYSE American LLC to amend Section 1003 of its Company Guide. This notice is part of the standard regulatory review process for proposed changes by self-regulatory organizations.

BaFin Supervisory Announcement on EU Court Ruling Impact on German Financial Law

BaFin has issued a supervisory announcement clarifying the interpretation of German financial laws, specifically sections of the WpHG and WpÜG, following a European Court of Justice ruling on 'Acting in Concert' (AiC). The announcement details how BaFin will adjust its administrative practice regarding voting rights attribution to align with EU law, impacting reporting obligations for listed companies and market participants.

BaFin Warns Consumers About Unauthorized Website gfi-hold(.)com

BaFin has issued a warning to consumers regarding the website gfi-hold(.)com, which is suspected of offering financial, investment, and cryptoasset services without the required authorization. The warning is issued under German Banking Act and Cryptomarkets Supervision Act provisions.

BaFin Clarifies Interpretation of § 34 WpHG Following ECJ Ruling

The German financial regulator BaFin has issued guidance clarifying its interpretation of Section 34 of the German Securities Trading Act (WpHG) following a European Court of Justice (ECJ) ruling. BaFin will now only attribute voting rights in cases also covered by the EU Transparency Directive, but will continue to apply Section 30 of the German Securities Acquisition and Takeover Act (WpÜG) unchanged.

BaFin Warns Consumers About Unauthorized Website gfi-hold(.)com

BaFin, the German financial supervisory authority, has issued a warning to consumers regarding the website gfi-hold(.)com. The website is allegedly offering financial, investment, and cryptoasset services without the required authorization from BaFin, constituting an unauthorized business operation.

Northern Colorado Woman Convicted of Securities Fraud

A Northern Colorado woman, Ann Vick, has been convicted on eight counts of securities fraud following a trial. She defrauded approximately 25 investors out of $3,000,000 through a fraudulent options trading and promissory note scheme. Sentencing is scheduled for May 21, 2026.

OCC Proposal to Modernize Regulatory Capital Requirements for Large Banks

The OCC, Federal Reserve, and FDIC have jointly proposed a new framework to modernize regulatory capital requirements for Category I and II banking organizations and those with significant trading activity. The proposal aims to improve risk reflection, reduce complexity, and enhance consistency, aligning with international standards.

OCC Proposal: Standardized Approach for Risk-Weighted Assets

The OCC, Federal Reserve, and FDIC have jointly proposed revisions to the regulatory capital requirements for banking organizations not classified as Category I or II. The proposal aims to enhance the calculation of risk-based capital requirements to better reflect risks and improve capital adequacy assessments for these institutions.

SEC Administrative Proceeding Against PHX Financial - Proposed Distribution Plan

The SEC has issued a notice regarding a proposed plan to distribute $347,989.04 in disgorgement, prejudgment interest, and penalties to harmed investors in an administrative proceeding against PHX Financial, Inc. The notice provides an opportunity for public comment on the proposed distribution plan.

Korea Reappointed to IFRS Sustainability Standards Advisory Forum

The Financial Services Commission announced that Korea has been reappointed to the IFRS Foundation's Sustainability Standards Advisory Forum (SSAF) for the 2026-2028 term. Korea, represented by the FSC and KSSB, will continue to contribute its policy experiences to support the development of IFRS sustainability disclosure standards.

RBI Approves Transition Arrangement for HDFC Bank Part-Time Chairman

The Reserve Bank of India (RBI) has approved a transition arrangement for the Part-Time Chairman position at HDFC Bank. The RBI stated that HDFC Bank is a Domestic Systemically Important Bank (D-SIB) with sound financials and no material concerns regarding its conduct or governance.

EBA Amends Technical Standards on Own Funds Application Timing

The European Banking Authority (EBA) has published final draft amending technical standards to shorten the application processing time for reducing own funds and eligible liabilities instruments from four to three months. These amendments aim to reduce regulatory burden for institutions and remove provisions for liquidation entities following recent legislative changes.

CSA Adopts Semi-Annual Financial Reporting Pilot for Venture Issuers

The Canadian Securities Administrators (CSA) has adopted a pilot project allowing eligible venture issuers to voluntarily file semi-annual financial reports instead of quarterly reports. This initiative, formalized by Coordinated Blanket Order 51-933, aims to reduce regulatory burden for smaller issuers listed on the TSX Venture Exchange or CNSX Markets while maintaining investor protection.

Finnish Financial Sector Capital Strong; Cautious Regulatory Simplification Urged

The Finnish Financial Supervisory Authority (FIN-FSA) reported that the Finnish financial sector's capital position remained strong in 2025, with improved solvency ratios in the banking and employee pension sectors. The FIN-FSA supports cautious regulatory simplification proposed by EU authorities, emphasizing that it must not compromise the sector's resilience or stability.

Bank of England Weekly Report Data

The Bank of England has published its weekly report data for March 18, 2026. The report details the latest figures for the Bank's sterling and foreign currency assets and liabilities, including reserves balances, notes in circulation, and various lending operations.

Canadian Regulators Launch Pilot for Semi-Annual Financial Reporting

Canadian securities regulators, through the CSA, have launched a pilot project allowing eligible venture issuers to voluntarily file semi-annual financial reports instead of quarterly ones. This initiative aims to reduce regulatory burden for smaller issuers listed on the TSXV or CSE, while maintaining investor protection.

OSC Warns Investors About Fake Registration Schemes

The Ontario Securities Commission (OSC) has issued a warning to investors about an increase in fraudsters impersonating regulators and using fake credentials to operate fraudulent trading platforms. The OSC emphasizes that it does not contact individuals to recover funds or promote investments, and advises investors to verify any suspicious communications directly with the OSC.

BaFin Warns of Morrisonboost Offers in WhatsApp Groups

The German Federal Financial Supervisory Authority (BaFin) has issued a warning regarding unauthorized financial services offered through WhatsApp groups that direct users to the Morrisonboost platform. BaFin suspects the operators are conducting banking business and/or financial services without the required authorization.

BaFin Fines aap Implantate AG €158,000 for Disclosure Violation

Germany's BaFin has fined aap Implantate AG €158,000 for violating securities trading laws. The company failed to properly announce the public availability of its half-year financial report for 2024, including the specific website address. The company has the right to appeal the decision.

BaFin Orders Billie GmbH to Ensure Proper Business Organization

BaFin has ordered Billie GmbH to ensure proper business organization, citing serious deficiencies in risk management and internal audit identified during a special examination. The measure became legally binding on March 6, 2026.

EuroSteps Walking Challenge Promotes Financial Literacy

The European Central Bank (ECB) and BaFin have launched the 'EuroSteps Walking Challenge' to improve financial literacy across the Eurozone. The initiative combines a walking challenge with educational content delivered via a mobile app, starting April 1, 2026.

BaFin warns Tradealles.com for unauthorized financial services

BaFin has issued a warning against the website Tradealles.com for offering financial services, securities services, and crypto-asset services without authorization. The operator appears to be misusing the identity of a UK-registered company, leading BaFin to suspect identity theft.

BaFin Imposes Administrative Fine on aap Implantate AG

BaFin has imposed an administrative fine of 158,000 euros on aap Implantate AG for violating the German Securities Trading Act. The company failed to publish a required announcement regarding the availability of its 2024 half-yearly financial report.

Michigan Dissolves Prohibition Order for Changpeng Zhao

The Michigan Department of Insurance and Financial Services (DIFS) has dissolved a prohibition order against Changpeng Zhao. The order, originally issued on August 28, 2024, is dissolved due to a full and unconditional presidential pardon granted to Zhao on October 21, 2025, for a prior felony conviction related to anti-money laundering compliance.

ECB Maintains Interest Rates, Targets 2% Inflation Amidst Geopolitical Uncertainty

The European Central Bank (ECB) announced its decision to keep key interest rates unchanged, reaffirming its commitment to a 2% inflation target. The press release highlights increased uncertainty due to the war in the Middle East, which is projected to raise inflation and dampen economic growth in the medium term.

ECB Monetary Policy Statement - Interest Rates Unchanged

The European Central Bank (ECB) announced its decision to keep key interest rates unchanged, reaffirming its commitment to achieving the 2% inflation target. The statement noted increased uncertainty due to geopolitical events impacting energy prices and economic growth projections.

Luxembourg IFMs Management Notification Procedures via eDesk Portal

The CSSF has announced that Luxembourg-domiciled Alternative Investment Fund Managers (IFMs) must use the eDesk Portal for management notifications and de-notifications with a European passport starting April 22, 2026. An API solution will also be available.

Canadian Securities Regulators Launch Pilot for Semi-Annual Financial Reporting

Canadian securities regulators, through the CSA, have launched a pilot project allowing eligible venture issuers to voluntarily adopt semi-annual financial reporting. This initiative aims to reduce regulatory burden for smaller issuers while maintaining investor protection.

Banca d'Italia Seminars - 2026 Schedule

The Banca d'Italia has updated its schedule for seminars planned in 2026. The update, as of February, provides a list of upcoming events, including a PDF document detailing the seminars held throughout the year.

CIRO Launches Program to Return Funds to Harmed Investors

The Canadian Investment Regulatory Organization (CIRO) is launching a Disgorgement Distribution Program effective April 1, 2026. This program will allow CIRO to distribute funds collected from registrant misconduct disgorgement orders directly to investors who have suffered financial harm, enhancing investor protection and deterrence.

Canadian Regulators Adopt Semi-Annual Financial Reporting Pilot

Canadian securities regulators have adopted a pilot project allowing eligible venture issuers to voluntarily file semi-annual financial reports instead of quarterly ones. This initiative aims to reduce regulatory burden for smaller issuers while maintaining investor protection.

HKMA Alerts Public to Bank Scams and Fraudulent Websites

The Hong Kong Monetary Authority (HKMA) has alerted the public to fraudulent websites and scams reported by several banks. The notice reminds the public that banks will not solicit sensitive information via SMS or email with embedded hyperlinks.

HKMA Responds to Unchanged US Fed Interest Rate Decision

The Hong Kong Monetary Authority (HKMA) issued a statement acknowledging the US Federal Reserve's decision to maintain its target range for the federal funds rate. The HKMA noted that while the decision was expected, future US monetary policy remains uncertain due to inflation and geopolitical factors.

Japan-UK Financial Regulatory Forum Discusses Key Topics

The Japan Financial Services Agency (JFSA) and UK authorities (HM Treasury, Bank of England, FCA) held the fourth Japan-UK Financial Regulatory Forum on March 18, 2026. Discussions covered digital finance, sustainable finance, AI, cybersecurity, and international banking regulations.

Japan-Bermuda Bilateral Meeting on Insurance

The Japan Financial Services Agency (JFSA) and the Bermuda Monetary Authority (BMA) held a bilateral meeting on February 25, 2026, in Tokyo. The meeting focused on insurance-related regulatory and supervisory matters, including international priorities and opportunities for closer collaboration.

CFTC and MLB Sign MOU to Protect Baseball Integrity

The CFTC and Major League Baseball have signed a Memorandum of Understanding to establish a framework for cooperation and information exchange regarding the integrity of professional baseball and related prediction markets. This is the first such agreement between the CFTC and a professional sports league.

FDIC Rescinds Policy on Failed Bank Acquisition Qualifications

The FDIC Board of Directors has rescinded its 2009 Statement of Policy on the Qualifications for Failed Bank Acquisitions and related 2010 Q&As. This action aims to remove barriers for nonbank entities participating in failed bank acquisitions and reduce costs to the Deposit Insurance Fund.

Agencies Seek Comment on Modernizing Banking Capital Framework

The FDIC, Federal Reserve, and OCC are seeking public comment on three proposals to modernize the regulatory capital framework for banks. The proposals aim to streamline capital requirements, enhance risk sensitivity, and maintain banking system stability, with potential modest reductions in overall capital requirements.

PCAOB Publishes New and Expanded Firm Inspection Reports

The PCAOB has released four new inspection reports and one expanded report for audit firms. The expanded report concerns RSM US LLP and addresses quality control issues that were not resolved within the specified timeframe.

FDIC, Fed, OCC Propose Revisions to Risk-Weighted Asset Calculations

The FDIC, Federal Reserve, and OCC have jointly proposed revisions to the standardized approach for calculating risk-weighted assets and adjustments to regulatory capital definitions. The proposal aims to improve risk sensitivity while maintaining simplicity and includes modifications to risk weights for certain exposures, counterparty credit risk, and securitizations. Comments are due by June 18, 2026.

FDIC, Federal Reserve, OCC Issue Joint Proposal on Bank Capital Rules

The FDIC, Federal Reserve, and OCC jointly issued a proposal to revise the measurement of risk-weighted assets for Category I and II banking organizations, including credit, operational, and market risk. All banking organizations may elect to adopt the proposed approach. Comments are due by June 18, 2026.

FDIC Rescinds 2009 Policy on Failed Bank Acquisitions

The FDIC has rescinded its 2009 Statement of Policy on Qualifications for Failed Bank Acquisitions and related 2010 Q&A. This action aims to remove regulatory barriers and reduce costs to the Deposit Insurance Fund by encouraging non-bank participation in the resolution process for failed insured depository institutions.