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FINRA MEMBER FIRM FEE REBATE

FINRA’s Board of Governors in December approved a rebate of 2025 regulatory fees that will be distributed at the end of this month to eligible member firms who paid such fees to FINRA. As discussed b...

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SEC
SEC CLARIFIES THE APPLICATION OF FEDERAL SECURITIES LAWS TO CRYPTO ASSETS
March 19, 2026

The Securities and Exchange Commission (SEC) issued an interpretation clarifying how the federal securities laws apply to certain...

FCA
FCA CONFIRMS NEW INCIDENT AND THIRD PARTY RULES TO BOLSTER RESILIENCE
March 19, 2026

The FCA has confirmed new rules to make existing incident and third party reporting clearer, more consistent, and easier for firm...

BCSC
BCSC REVISES DISGORGEMENT ORDER IN MARKET MANIPULATION SCHEME
March 19, 2026

A BC Securities Commission (BCSC) panel has revised a financial sanction imposed on a participant in a market manipulation scheme...

Investment Executive
U.S. NOT ABANDONING MONEY LAUNDERING FIGHT: FITCH
March 19, 2026

While the U.S. approach to combating money laundering in the banking sector has shifted along with the overall regulatory landsca...

OSC
OSC INVESTOR WARNINGS AND ALERTS FOR FEBRUARY 24 - MARCH 17, 2026
March 18, 2026

The Ontario Securities Commission (OSC) is warning Ontario investors that the following companies are not registered to deal or a...

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