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Financial Compliance
SEC, OCC, FDIC, Fed, FINRA, CFPB, FASB, and state banking regulators. One feed.
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Trade & Procurement
Recent changes
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.
USPS Proposes Discontinuing Priority Mail Express and Priority Mail Open and Distribute Parcel Mailings
The United States Postal Service (USPS) has proposed a rule to discontinue the mailing of parcels via Priority Mail Express and Priority Mail Open and Distribute services. This change aims to shift parcel mailings under these services to negotiated service agreements.
Steel Fittings from India and South Korea: Five-Year Review Notice
The US International Trade Commission (USITC) has determined to conduct full five-year reviews of the countervailing duty order on forged steel fittings from India and the antidumping duty orders on forged steel fittings from India and South Korea. These reviews will assess whether revoking these orders would likely lead to the continuation or recurrence of material injury.
USITC: Expedited Five-Year Review of Antidumping Duty Order on Tetrahydrofurfuryl Alcohol from China
The U.S. International Trade Commission (USITC) has scheduled an expedited five-year review to determine if revoking the antidumping duty order on tetrahydrofurfuryl alcohol from China would likely lead to material injury. This notice follows the Commission's determination that a full review is not warranted.
In the Matter of the Expunction of K.J. v. the State of Texas - Expunction Case
The Texas Court of Appeals, 8th District (El Paso), reversed and rendered a decision in the expunction case of K.J. v. the State of Texas. The court's disposition indicates a significant alteration to the lower court's ruling regarding the expunction of records.
Cody Bently v. State of Texas - Intoxication Offense Affirmed
The Texas Court of Appeals affirmed a lower court's decision denying a motion to suppress in the case of Cody Bently v. State of Texas. The appeal concerned the legality of a traffic stop for an intoxication offense. The court found the officer had reasonable suspicion for the stop.
Ruben Castillo, Jr v. State of Texas - Aggravated Assault Appeal
The Texas Court of Appeals affirmed the conviction of Ruben Castillo, Jr. for aggravated assault with a deadly weapon. The appeal challenged the admission of expert testimony regarding burn injuries sustained by a child. The court found no abuse of discretion in admitting the testimony.
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