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Agencies Request Comment on Modernizing Banking Capital Framework

The Federal Reserve, FDIC, and OCC have jointly requested public comment on three proposals to modernize the regulatory capital framework for banks. These proposals aim to enhance risk sensitivity, reduce regulatory burden, and align capital requirements more closely with risk, while maintaining the banking system's safety and soundness.

Federal Reserve Notice on Nonbanking Activities and Acquisitions

The Federal Reserve Board has published a notice regarding companies that have provided notice under the Bank Holding Company Act to engage in nonbanking activities or acquire other companies. The notice lists specific applications and provides a deadline for public comments.

Federal Reserve Bank Applications for Bank Holding Company Approval

The Federal Reserve Board has published a notice of applications received for approval to become a bank holding company or to acquire a bank or bank holding company. Interested parties can submit comments on these applications by April 20, 2026.

SRB Chair Speech on Banking Union Competitiveness and Simplification

The Chair of the Single Resolution Board (SRB) delivered a speech discussing the progress and future of the EU's Banking Union. The speech highlighted achievements in simplification of reporting requirements and transparency, while also emphasizing the need for further integration, particularly regarding a European deposit insurance framework and liquidity in resolution.

SRB Conference on Bank Resolution

The Single Resolution Board (SRB) is hosting its first Economic Conference in Brussels, bringing together policymakers, banking practitioners, and academics. The two-day event focuses on academic research related to bank crisis and resolution, aiming to draw lessons from past experiences and explore future challenges in financial stability.

SRB Chair Welcomes Attendees to Economic Conference

The Chair of the Single Resolution Board (SRB), Dominique Laboureix, delivered a welcome speech at the SRB Economic Conference on March 19, 2026. The speech highlighted the importance of the conference in discussing bank resolution policy and financial stability, referencing research on 'too big to fail' and historical banking crises.

ESMA Statement on Significant Benchmarks - CME

The European Securities and Markets Authority (ESMA) has issued a statement regarding significant benchmarks notified by CME under Article 24(2) of the Benchmark Regulation. This notice clarifies ESMA's position on these specific benchmark notifications.

Federal Reserve: Bank Holding Company Formations, Acquisitions, and Mergers

The Federal Reserve System published a notice regarding applications for bank holding company formations, acquisitions, and mergers. The notice details applications filed under the Bank Holding Company Act and Regulation Y, with a public comment deadline of April 20, 2026.

Federal Reserve Notice of Proposals for Nonbanking Activities

The Federal Reserve System has published a notice regarding proposals from companies seeking to engage in or acquire companies involved in permissible nonbanking activities under the Bank Holding Company Act. These notices are subject to public comment and review.

FMA Fines APEX Ventures GmbH for AIFMG Breach

The Austrian Financial Market Authority (FMA) has imposed fines of EUR 2,000 each against the persons responsible of APEX Ventures GmbH for failing to promptly notify required information under the Alternative Investment Fund Managers Act (AIFMG). The penal orders are final.

Allianz Risk Transfer AG Portfolio Transfer to Allianz Global Corporate SE

The Austrian Financial Market Authority (FMA) announced that Allianz Risk Transfer AG has transferred its entire insurance portfolio to Allianz Global Corporate & Specialty SE. This portfolio transfer became effective on February 28, 2026. Policyholders have a termination right under the Insurance Supervision Act 2016.

SEC Notice: Nasdaq MRX Proposes Colocation Connectivity Service

The SEC has published a notice regarding a proposed rule change by Nasdaq MRX, LLC. The exchange plans to introduce a new colocation telecommunications carrier connectivity service called 'TNO Cross Connect' within its data center campus. A separate filing will establish fees for this service.

Nasdaq ISE LLC Proposed Rule Change for Co-Location Services

The SEC has published a notice regarding a proposed rule change by Nasdaq ISE LLC to expand its co-location services. This expansion includes offering new cabinet and power options, specifically a liquid-cooled cabinet, in the Exchange's expanded data center. The SEC is soliciting public comments on this proposal.

Nasdaq MRX LLC Proposed Rule Change to Expand Co-Location Services

The SEC has published a notice regarding a proposed rule change by Nasdaq MRX LLC to expand its co-location services. The expansion includes offering new cabinet and liquid cooling options in the Exchange's expanded data center. The public is invited to comment on this proposal.

Nasdaq Rule Change: Expansion of Co-Location Services

The SEC has published a notice regarding a proposed rule change by The Nasdaq Stock Market LLC to expand its co-location services. The proposal includes offering new cabinet and liquid cooling options in Nasdaq's expanded data center.

Nasdaq GEMX LLC Proposes Rule Change for Co-Location Services

Nasdaq GEMX LLC has filed a proposed rule change with the SEC to expand its co-location services by offering new cabinet and power options, including liquid-cooled cabinets, in its expanded data center. This filing initiates a comment period for interested parties.

Nasdaq Texas LLC Co-Location Services Expansion

Nasdaq Texas LLC has filed a proposed rule change with the SEC to expand its co-location services by offering new cabinet and power options, including liquid-cooled cabinets, in its expanded data center. This notice is to solicit public comments on the proposed expansion.

SEC Notice: Nasdaq PHLX LLC Co-Location Services Expansion

The SEC has published a notice regarding a proposed rule change by Nasdaq PHLX LLC to expand its co-location services. The expansion includes offering new cabinet and power options, specifically a liquid-cooled cabinet, in the exchange's expanded data center.

SEC Notice: Nasdaq ISE LLC Rule Change for TNO Cross Connect Service

The SEC has published a notice regarding a proposed rule change by Nasdaq ISE LLC to introduce the TNO Cross Connect service. This service will provide telecommunications carrier connectivity within the exchange's data center campus. A separate filing will establish fees for this new service.

SEC Notice: Nasdaq GEMX LLC Rule Change for TNO Cross Connect Service

The SEC has published a notice regarding a proposed rule change by Nasdaq GEMX, LLC to introduce a new colocation telecommunications carrier connectivity service called TNO Cross Connect. This service will be offered throughout GEMX's data center campus.

SEC Notice: Nasdaq Proposed TNO Cross Connect Colocation Service

The SEC has published a notice regarding a proposed rule change by The Nasdaq Stock Market LLC to introduce a new colocation telecommunications carrier connectivity service called TNO Cross Connect. The filing is open for public comment.

Cboe EDGA Exchange Rule Change for Fee Waiver

Cboe EDGA Exchange has filed a proposed rule change with the SEC to amend its fee schedule. The change introduces a new fee waiver for eligible Internal Distributors, specifically waiving the Internal Distribution Fee and Non-Display Usage Fee under certain conditions. This filing is effective immediately.

Cboe EDGX Exchange Fee Waiver for Internal Distributors

Cboe EDGX Exchange has filed a proposed rule change with the SEC to adopt a new fee waiver for eligible Internal Distributors. This waiver applies to the Internal Distribution Fee and Non-Display Usage Fee under specific conditions, aiming to encourage new market participants.

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

The SEC has published a notice regarding a proposed rule change by Nasdaq PHLX LLC to introduce a new colocation telecommunications carrier connectivity service called TNO Cross Connect. This service will be offered throughout its data center campus.

Cboe BZX Exchange Fee Schedule Amendment for Internal Distributors

The SEC has published a notice regarding a proposed rule change by Cboe BZX Exchange, Inc. The exchange seeks to amend its fee schedule to introduce a new fee waiver for eligible internal distributors. This waiver applies to specific fees under certain conditions.

Cboe BYX Exchange Proposes Fee Waiver for Internal Distributors

The SEC has published a notice regarding a proposed rule change by Cboe BYX Exchange, Inc. to amend its Fee Schedule. The proposal introduces a new fee waiver for eligible Internal Distributors, specifically waiving the Internal Distribution Fee and Non-Display Usage Fee under certain conditions.

SEC Approves Amendment to Consolidated Audit Trail Funding Model

The SEC has approved an amendment to the National Market System Plan for the Consolidated Audit Trail (CAT) to implement a revised funding model. This amendment, known as the Executed Share Model, will establish a new fee schedule for participants contributing to the CAT.

SEC Notice: First Trust Portfolios L.P. and FTP Series Application

The SEC has published a notice regarding an application from First Trust Portfolios L.P. and FTP Series seeking exemptions under the Investment Company Act of 1940. The application requests approval for certain exchange and rollover privileges and modifications to sales charge structures for unit investment trusts.

SEC Notice: Megacorn Fund and Forge Global Advisors LLC Application

The SEC has published a notice regarding an application from Megacorn Fund and Forge Global Advisors LLC. The applicants seek an exemption to allow certain registered closed-end investment companies to issue multiple classes of shares and impose asset-based fees and early withdrawal charges.

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

The SEC has issued a notice regarding an application from The RBB Fund Trust and M.D. Sass, LLC. The application seeks an exemption from certain disclosure requirements and shareholder approval for subadvisory agreements. Interested parties can request a hearing by April 13, 2026.

CFTC Agency Information Collection Activities Correction

The Commodity Futures Trading Commission (CFTC) issued a correction to a previously published notice regarding agency information collection activities under OMB review. This correction amends a date within the notice, changing the comment deadline from June 24, 2026, to March 27, 2026.

BaFin Imposes Fine on DLT Securities GmbH

BaFin has imposed three fines totaling €140,000 on DLT Securities GmbH for violations of the German Money Laundering Act (GwG). The decision became legally binding on February 18, 2026.

BaFin SOAP Webservice v2 for Offer Conditions Filing

The German Federal Financial Supervisory Authority (BaFin) has announced the availability of version 2 of its SOAP Webservice for filing offer conditions. This update provides technical details for financial service providers regarding the new service.

BaFin Suspects Illegal Share Offering by High Performance Battery Holding AG

BaFin suspects High Performance Battery Holding AG of illegally offering shares in Germany without a required prospectus. Consumers are advised to invest only based on legally required information and to report suspicious activities.

BaFin Warns High Performance Battery Holding AG Over Prospectus Violation

BaFin has issued a warning regarding High Performance Battery Holding AG for allegedly offering shares to the public in Germany without a required prospectus. Consumers are advised to rely only on legally mandated information and check BaFin's prospectus database.

Alaska Proposes Virtual Currency Money Transmission Regulations

The Alaska Department of Commerce, Community, and Economic Development is proposing changes to its money transmission regulations to include virtual currency. The proposed changes would add virtual currency activity as a covered money transmission activity, require licenses for virtual currency transmitters, and update permissible investments to include virtual currency. Public comments are due by September 30, 2022.

Alaska Advisory on Email Account Scams and Cybercrime Protection

The Alaska Division of Banking and Securities issued an advisory to consumers and businesses regarding email account scams and cybercrime protection. The notice highlights threats to financial accounts, including fraudulent payroll changes and unauthorized wire transfers, and provides resources for protection.

Metals.Com Fraud Enforcement - Investor Claim Deadline

The Alaska Division of Banking and Securities, along with other state regulators and the CFTC, filed a joint civil enforcement action against Metals.Com and associated parties for alleged fraud involving 1,600 investors and over $185 million. A receiver has been appointed to manage claims, with a deadline of April 30, 2021, for defrauded clients to submit their claims.

DCCA Disciplinary Actions and Fines

The Hawaii Department of Commerce and Consumer Affairs (DCCA) has released a summary of disciplinary actions taken against licensed professionals through September 2025. These actions include fines totaling $25,250 and other sanctions against individuals and entities for various violations.

Hawaii Securities Commissioner Issues Cease and Desist Order Against Teapresso Bar LLC

The Hawaii Securities Commissioner has issued a cease and desist order against Teapresso Bar LLC for alleged violations of securities laws. The order prohibits the company from offering or selling securities within the state.

DTRIC Insurance Withdraws from Hawai'i Market

DTRIC Insurance has announced its withdrawal from the Hawai'i market, effective October 12, 2025. This action will impact policyholders and the insurance landscape within the state.

Hawaii Annual Business Reports Due June 15

The State of Hawaii's Department of Commerce and Consumer Affairs (DCCA) has announced that annual business reports are due by June 15, 2025. This notice serves as a reminder for businesses to file their reports to maintain good standing with the state.

NJ DOBI Commissioner Statement on Passing of Former Governor Dick Codey

The New Jersey Department of Banking and Insurance released a statement from Commissioner Justin Zimmerman on January 12, 2026, mourning the passing of former Governor Dick Codey. The statement highlighted Codey's dedication to public service and his work on mental health policy.

Get Covered New Jersey Open Enrollment Update

The New Jersey Department of Banking and Insurance released an update on Get Covered New Jersey's 2026 open enrollment period. Over 509,000 residents enrolled, but the state anticipates a decline due to federal subsidy changes impacting affordability.

Get Covered New Jersey Enrollment Encouragement

The New Jersey Department of Banking and Insurance is reminding residents about the January 31st deadline for enrolling in health coverage through Get Covered New Jersey for 2026. The notice emphasizes the availability of financial assistance and enrollment support to help residents find suitable health plans.

SEC Notice: Investment Fund Exemption Application

The SEC has issued a notice regarding an application for exemption filed by Dawson Private Markets Evergreen Fund and Dawson Partners (US) Inc. The applicants seek relief to allow certain closed-end investment companies to issue multiple share classes, impose early withdrawal charges, and implement asset-based distribution and service fees.

SEC Proposes Rule Changes for Cboe EDGA Trading Halts

The SEC has published a proposed rule change from Cboe EDGA Exchange, Inc. concerning trading halts. The proposal aims to integrate definitions from the Amended CTA/CQ Plan and reorganize existing rules to improve clarity and consistency in halt procedures.

SEC Notice: Cboe EDGX Rule Changes on Trading Halts

The SEC has published a notice regarding proposed rule changes by Cboe EDGX Exchange, Inc. concerning trading halts and market volatility. The proposal aims to integrate definitions from the Amended CTA/CQ Plan and reorganize existing rules related to trading halts and circuit breakers.

SEC Seeks Comments on Information Collection Activities

The SEC is seeking public comments on its existing information collection activities related to Rule 17a-2, which requires underwriters to maintain records of stabilizing activities. The agency plans to submit this collection for extension and approval by the OMB.

CFTC Withdraws Climate-Related Financial Risk Information Request

The Commodity Futures Trading Commission (CFTC) has withdrawn its June 8, 2022, Request for Information (RFI) on climate-related financial risk. This withdrawal is effective March 16, 2026, and is attributed to the revocation of Executive Order 14030 and the existence of existing regulatory frameworks.