Search

CySEC Promotes Youth Financial Literacy During Global Money Week

The Cyprus Securities and Exchange Commission (CySEC) is participating in Global Money Week 2026 with various educational activities to enhance financial literacy among young people. Initiatives include lectures, educational material development, social media campaigns, and media publications.

NYSE Arca Rule Change to Eliminate Publication Obligations

The NYSE Arca has filed a rule change with the SEC to amend Rules 2.4, 2.6, and 6.44-O, removing certain outdated publication obligations for options trading permits and floor broker registrations. The SEC estimates that each response requires approximately 0.25 hours.

NYSE Arca Rule Change for Options on Crypto Assets

The SEC approved a rule change by NYSE Arca to amend exchange rules regarding options on certain crypto assets. This action allows for the listing and trading of options on various Bitcoin and Ethereum Exchange Traded Products (ETPs) and modifies position limits for these options.

NYSE AMER Rule Filing: Debt Recovery and Annuity Withholding Procedures

The NYSE American has filed a rule change to amend procedures related to debt recovery and annuity withholding for RUIA-related debt. The filing also addresses proposed changes to position limits for options overlying certain crypto asset ETFs.

SEC Obtains Final Judgment Against Kevan Sadigh for Insider Trading

The SEC announced that a final consent judgment has been entered against Kevan Sadigh for insider trading. The judgment permanently enjoins Sadigh from violating securities laws and orders him to pay $108,120 in disgorgement, which is satisfied by a parallel criminal forfeiture order.

SEC Asset-Backed Securities Interpretations Updated

The SEC's Division of Corporation Finance has updated its interpretations for asset-backed securities, specifically addressing rules under Regulation AB, the Securities Act, and the Exchange Act. The update clarifies guidance on securitization participants and eligibility requirements for Form SF-3.

Capital Markets Authority Investor Awareness Newsletters

The Capital Markets Authority of Kenya has published investor awareness newsletters for April 2022. These resources are intended to educate investors and provide awareness on capital markets topics. The content indicates that specific newsletter issues are to be updated.

FCA Guidance on Designing Consumer Segments for Targeted Support

The FCA has published guidance for financial firms on designing consumer segments for targeted support. This guidance provides practical examples and considerations to help firms comply with existing rules, particularly in light of the Financial Ombudsman Service's review process.

Northann Corp. Delisting Notice Filing

Northann Corp. has filed a delisting notice with the SEC, indicating its intention to delist from the Nasdaq Capital Market. This filing is a procedural step required for companies seeking to cease trading on a national securities exchange.

Avidity Biosciences Inc. - Form 8-K Filing

Avidity Biosciences Inc. filed a Form 8-K with the SEC on February 18, 2026, to report the delisting of its common stock from The Nasdaq Capital Market. The company's stock will continue to trade on The Nasdaq Global Select Market.

Forge Global Holdings, Inc. 8-K Filing - Schwab Acquisition Completion

Forge Global Holdings, Inc. filed a Form 8-K to report the completion of its acquisition by The Charles Schwab Corporation on March 2, 2026. The filing details the merger terms, including the cash consideration of $45.00 per share for outstanding common stock.

Bayview Acquisition Corp - SEC 8-K Filing

Bayview Acquisition Corp has filed an 8-K form with the SEC, reporting the delisting of its common stock from the Nasdaq Capital Market. The delisting became effective as of the market open on March 18, 2026.

Eventbrite Inc. 8-K Filing

Eventbrite Inc. filed a Form 8-K with the SEC on March 10, 2026, to report a voluntary delisting from the New York Stock Exchange. The company's common stock is expected to cease trading on the NYSE on March 11, 2026.

NYSE National Fee and Connectivity Rule Changes

NYSE National has filed proposed rule changes with the SEC regarding amendments to its connectivity fee schedule and schedule of fees and rebates. These changes affect fees related to third-party systems and data feeds, as well as the definition of Round Lot under Regulation NMS.

NYSE Proposed Rule Changes and SEC Filings

The SEC has published notices of proposed rule changes by the New York Stock Exchange (NYSE) LLC. These filings include proposed amendments to listing standards and fee schedules, with comment periods open for public input. The SEC is also instituting proceedings for certain proposed rule changes to determine approval.

SEC Warns Investors About Group Chat Investment Scams

The SEC issued an investor alert warning that fraudsters are using investment-related group chats, including on social media, to lure investors into scams. The alert highlights tactics such as impersonating financial experts, using AI for deepfakes, and promoting fraudulent trading platforms, referencing an enforcement action against Morocoin.

SEC Warns of Investment Scams Targeting Wildfire Victims

The SEC's Office of Investor Education and Advocacy has issued a warning about investment scams targeting victims of natural disasters, including recent California wildfires. Fraudsters may exploit individuals receiving insurance payouts by promoting fraudulent recovery-related investments or pump-and-dump schemes.

SEC Investor Alert: Investment Scams Linked to Texas Floods

The SEC's Office of Investor Education and Assistance has issued an investor alert warning about investment scams that exploit natural disasters, such as the recent Texas floods. Fraudsters may target individuals receiving disaster relief funds with fraudulent investment opportunities related to cleanup and recovery efforts.

SEC Warns of Social Media Stock Tip Scams

The SEC's Office of Investor Education and Assistance and Division of Enforcement have issued a warning regarding stock recommendation scams conducted via social media. Investors are cautioned against making decisions based solely on social media information and are advised to verify the credentials of investment professionals.

SEC Warns of Impersonation Scams on Social Media

The SEC's Office of Investor Education and Assistance has issued a warning about fraudsters impersonating the SEC on social media and text messages to perpetrate scams, including stock tips and advance fee fraud. The alert provides examples of such impersonations and advises investors on how to verify SEC communications and report suspicious activity.

Crowd Freak, LLC - Notice and Order to Cease and Desist

The Michigan Department of Licensing and Regulatory Affairs has issued a Notice and Order to Cease and Desist against Crowd Freak, LLC for offering and selling unregistered securities. The company is not registered with the state and has not identified any relevant exemptions from registration requirements.

CREO Global Capital LLC and Peter Savarino - Consent Order

The Michigan Department of Licensing and Regulatory Affairs has issued a Consent Order against CREO Global Capital LLC and Peter Savarino for alleged violations of securities regulations. The order requires them to pay a $1,000 civil fine and engage a consultant to review their policies and procedures.

NYSE Arca Rule Filing SR-NYSEARCA-2026-26 - Colocation Services

The NYSE Arca has filed a rule change (SR-NYSEARCA-2026-26) concerning colocation services, specifically for NY11-5. The filing, published in the Federal Register, makes new cabinet and power options available on a non-discriminatory basis. The rule change became effective immediately upon filing, with the SEC waiving the standard 30-day operative delay.

Hester Peirce Discusses Materiality in SEC Disclosures

SEC Commissioner Hester Peirce delivered remarks on the limits of the SEC's disclosure rulemaking authority, referencing recent Supreme Court decisions. The speech, delivered at SEC Speaks on March 19, 2026, emphasized the importance of understanding statutory boundaries in regulatory work.

Securities Fraud Prosecution Hearing Fixed for Illegal Short Selling

The Securities and Futures Commission (SFC) has fixed the first criminal prosecution hearing in the District Court against two defendants for securities fraud involving illegal short selling under section 300 of the Securities and Futures Ordinance. The case involves alleged fraudulent schemes in the shares of 28 Hong Kong-listed companies.

FCA Later Life Mortgages Market Study Terms of Reference

The Financial Conduct Authority (FCA) has published the Terms of Reference for a new market study into the later life mortgages sector. The study will examine competition and consumer needs in the lifetime and retirement interest only (RIO) mortgage markets. The FCA is inviting stakeholder views on the scope of the study.

SEC Remarks on Small Business Capital Formation

SEC Deputy Directors Jenny Riegel and Amy Reischauer delivered remarks on improving capital formation for small businesses. The speech outlined the Office of the Advocate for Small Business Capital Formation's 'Listen → Learn → Improve' framework and highlighted tools designed to help small businesses navigate regulatory pathways.

CONSOB Remote Collection Systems Unavailable March 20-23, 2026

CONSOB has issued a notice informing users that its remote collection systems within the 'service for operators' section will be unavailable due to extraordinary maintenance. The systems will be inaccessible from March 20, 2026, 18:00 to March 23, 2026, 7:00.

TD Ameritrade Consent Order for Excess Commissions

The Missouri Securities Division has entered into a consent order with TD Ameritrade, Inc. for charging commissions exceeding 5% on certain small principal equity transactions between June 30, 2018, and June 30, 2023. TD Ameritrade agreed to this order without admitting or denying the allegations.

Edward Jones Charged Unreasonable Commissions - Consent Order

The Missouri Securities Division has issued a consent order against Edward D. Jones & Co., L.P. (Edward Jones) for charging unreasonable commissions on small principal equity transactions between May 1, 2020, and April 30, 2025. The firm allegedly charged commissions exceeding 5% on approximately 781,240 transactions, totaling over $11.2 million nationwide.

LPL Financial LLC Consent Order - Unreasonable Commissions

The Missouri Securities Division has entered into a consent order with LPL Financial LLC for charging unreasonable commissions on small principal equity transactions. LPL Financial LLC will pay $78,920.98 in commissions to Missouri residents for over 127,000 transactions nationwide between April 30, 2020, and April 30, 2025.

RBC Capital Markets LLC Consent Order on Commissions

The Missouri Securities Division has entered into a consent order with RBC Capital Markets, LLC, for charging unreasonable commissions on equity transactions between May 2020 and May 2025. RBC will pay approximately $3.4 million nationwide for overcharging on nearly 90,000 transactions.

Macquarie Contravention of Corporations Act Regarding Shield Master Fund

The Federal Court declared that Macquarie Investment Management Limited (MIML) contravened the Corporations Act by failing to adequately monitor the Shield Master Fund. MIML will pay affected members 100% of their invested amounts, totaling approximately $321 million. This outcome reinforces trustee obligations to monitor funds and protect member savings.

SFC Hong Kong: First SFO Criminal Prosecution for Illegal Short Selling Scheduled

The Securities and Futures Commission (SFC) of Hong Kong has scheduled the first criminal prosecution under the Securities and Futures Ordinance (SFO) for illegal short selling. The case involves alleged securities fraud and will be heard in the District Court.

NYSE Arca Proposed Rule Change to Eliminate Outdated Publication Obligations

NYSE Arca has filed a proposed rule change with the SEC to amend Rules 2.4, 2.6, and 6.44-O. The changes aim to eliminate certain outdated publication obligations related to Options Trading Permits (OTPs) and floor broker registrations, which are deemed unnecessary and an administrative burden.

NYSE American LLC Rule Changes for Crypto Asset Options

NYSE American LLC has filed a proposed rule change with the SEC to amend rules regarding position limits and terms for options on certain crypto asset-based Exchange-Traded Fund Shares. The filing seeks to align with similar proposals from other exchanges and expand trading capabilities for crypto options.

NYSE Arca Proposes Rule Change for Crypto Asset Options

NYSE Arca has filed a proposed rule change with the SEC to amend rules regarding options on certain crypto asset-based Exchange-Traded Fund Shares. The filing seeks to remove restrictions and align with similar proposals from other exchanges, aiming to facilitate trading of options on Bitcoin and Ethereum ETFs.

SFC Bans Kuo Che-jung for 4.5 Years, Fines $1 Million

The Securities and Futures Commission (SFC) of Hong Kong has banned Kuo Che-jung, a former responsible officer of Yuanta Securities, from the industry for four and a half years and fined him $1 million. The action was taken for conducting matched trades in Hang Seng Index options and operating secret accounts, which undermined market integrity and violated company policies.

SEC No-Action Letter: Cboe EDGX Retail Price Improvement Program

The SEC's Division of Trading and Markets issued a no-action letter to Cboe EDGX Exchange regarding its proposed Retail Price Improvement Program. The program allows for non-displayed orders that price-improve on the National Best Bid or Offer (NBBO) by at least $0.001 per share. This relief is provided in connection with the proposed rule change SR-CboeEDGX-2025-072.

Oregon State Securities Enforcement Orders Update

The Oregon Division of Financial Regulation has added two new enforcement orders to its notices and orders page. The orders are against New Life Solutions (DM-25-0061) for debt management and Jackson Avery & Associates (CA-25-0062) for collection agencies. The total number of entries on the page has increased from 20 to 22.

SEC Denies Stay Request for Adam Scott Kaplan and Daniel Evan Kaplan

The SEC denied a stay request filed by Adam Scott Kaplan and Daniel Evan Kaplan, who were suspended by FINRA for failing to pay an arbitration award. The Commission found the applicants failed to meet the burden for a stay on both substantive and procedural grounds.

SEC Commissioner Remarks on Regulatory Framework and Technology

SEC Commissioner Paul S. Atkins delivered remarks at SEC Speaks on March 19, 2026, discussing the need for the SEC's regulatory framework to keep pace with market developments and technology. He highlighted outdated rules, such as paper delivery for shareholder communications, and the impact of regulation-by-enforcement on innovation, particularly in digital assets.

SEC Commissioner Uyeda Remarks on Capital Markets and Pursuit of Happiness

SEC Commissioner Mark T. Uyeda delivered remarks on March 19, 2026, discussing the historical significance of the 'pursuit of happiness' and its connection to the development of American capital markets. The speech emphasized how capital markets facilitate individual opportunity and the role of regulation in fostering investor confidence.

Consob Blocks 9 Websites for Financial Abuse, Requests Social Media Profile Deactivation

The Italian financial regulator, CONSOB, has ordered the blocking of 9 websites for engaging in financial abuse and requested the deactivation of a social media profile. This action brings the total number of blocked sites since July 2019 to 1608.

IOSCO Consults on OTC Commodity Derivatives Good Practices

IOSCO has published a Consultation Report on Good Practices for over-the-counter (OTC) Commodity Derivatives Markets. The report proposes practices to strengthen the implementation of existing principles related to information collection, intervention powers, and market disruption management. Comments are invited from market participants and regulators.

SFC bans Kuo Che-jung for 4.5 years, fines $1 million

The Securities and Futures Commission (SFC) of Hong Kong has banned Kuo Che-jung from the industry for four and a half years. Additionally, a fine of $1 million has been imposed on Kuo Che-jung.

Bio-Med Investments II Settles with NH Securities Bureau for $2,500

The New Hampshire Bureau of Securities Regulation has settled with Bio-Med Investments II, LLC for $2,500. The settlement resolves allegations that Bio-Med II failed to timely file a notice for securities sales made in New Hampshire, more than a year after the first sale occurred.

NYSE American Options Fee Schedule Rule Change Filing

NYSE American LLC has filed a proposed rule change to modify its options fee schedule. This filing, submitted under Section 19(b)(2) of the Securities Exchange Act of 1934, outlines specific adjustments to the fees associated with options trading on the exchange. The filing is currently under review by the SEC.

AMF France: Crowdfunding Platforms Reminded of Complaint Handling Rules

The AMF France has issued a reminder to crowdfunding service providers (CSPs) regarding their obligations for handling investor complaints. This guidance clarifies requirements under EU and AMF regulations for establishing and maintaining effective complaint handling systems.

SEC Obtains Final Judgment Against Kenneth Welsh for Misappropriating Assets

The SEC announced the final judgment against Kenneth Welsh, a former registered representative and investment adviser representative, for misappropriating at least $2.86 million from client accounts. Welsh agreed to be permanently enjoined from violating securities laws and is liable for disgorgement and prejudgment interest, though payment is satisfied by a restitution order in a parallel criminal case.