Federal Reserve Board issues enforcement actions with former employee of Atlantic Union Bank and former employee of Frost Bank
The Federal Reserve Board on Thursday announced the execution of the enforcement actions listed below:
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SEC Investor Advisory Committee to Host June 4 Meeting
Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934
Read more →Minutes of the Board's discount rate meeting on April 20 and 29, 2026
The Federal Reserve Board on Tuesday released the minutes from its recent meetings to review and determine the discount rates provided to depository institutions through the discount window. Today's minutes cover the Bo…
Read more →Statistical Notice 2026/04 - BEEDS User Acceptance Testing (UAT) Environment – Statistical Taxonomy v1.3.1 FINAL
The Bank of England is pleased to announce the availability of a BEEDS User Acceptance Testing (UAT) environment for statistical reporting firms and software houses to test Bank of England Statistical Taxonomy v1.3.1 FI…
Read more →Kevin Warsh takes oath of office as chairman and a member of the Board of Governors of the Federal Reserve System, and the Federal Open Market Committee unanimously selects Warsh as its chairman
Kevin Warsh on Friday took the oath of office as chairman and a member of the Board of Governors of the Federal Reserve System.
Read more →SEC and NFA Announce Memorandum of Understanding to Further Harmonize Regulatory Coordination
The significance of this MOU lies in its parties. Unlike the CFTC, which is a federal agency with broad rulemaking and enforcement authority over derivatives markets, NFA is a congressionally authorized registered futur…
Read more →SEC Proposes Transformative Reforms to Help Public Companies Conduct Registered Offerings and Simplify Reporting Requirements
On May 19, 2026, the Securities and Exchange Commission (SEC) proposed two companion rulemakings that, if adopted, would significantly expand capital-raising flexibility for public companies and simplify the public comp…
Read more →SEC Rescinds Policy Regarding Denials of Settlements in Enforcement Actions
In this issue of our monthly Securities Enforcement Roundup, we highlight top securities enforcement developments from May 2026.
Read more →FCA and Bank of England set out shared vision for tokenisation in UK wholesale markets
UK financial firms can adopt tokenisation and distributed ledger technology (DLT) with greater confidence, as the Financial Conduct Authority (FCA) and the Bank of England set out a shared vision and seek industry views…
Read more →PRA announces ring-fence change to reduce costs
The Prudential Regulation Authority (PRA) has today announced plans to consult on reforming rules around shared operational services for ring-fenced banks.
Read more →The Bank, FCA and HM Treasury joint statement on Frontier AI models and cyber resilience
Artificial intelligence (AI) continues to evolve rapidly. Frontier AI models represent a step-change in capability, with significant implications for cyber security and operational resilience.
Read more →Minutes of the Market Participants Group meeting – 7 May 2026
The Governor began the meeting by thanking attendees for joining and reminding participants of the purpose of these meetings. The Governor made clear that the MPC would be in listening mode, and that the meeting would b…
Read more →Minutes of the Meeting of the Court of Directors held on 12 February 2026
David Roberts, Chair Andrew Bailey, Governor Sarah Breeden, Deputy Governor – Financial Stability Clare Lombardelli, Deputy Governor – Monetary Policy Sir Dave Ramsden, Deputy Governor – Markets & Banking Sam Woods, Dep…
Read more →SEC Charges 21 Individuals With Alleged Wide-Reaching Insider Trading Scheme
With the confirmation of Chair Gary Gensler in April and the appointment of Enforcement Division Director Gurbir Grewal in June, the latter half of 2021 provided greater insight into the ways in which heightened enforce…
Read more →SEC Divisions of Investment Management and Corporation Finance Issue Staff Guidance Supporting Retirement Plans for Small Businesses
As tech-savvy generations have aged, banking and financial options evolved, too, and once rare perks like mobile banking became standard, forcing brick-and-mortar institutions to become tech-enabled.
Read more →SEC Proposes Amendments to Permit Optional Semiannual Reporting by Public Companies
On May 5, 2026, the U.S. Securities and Exchange Commission (SEC) proposed rule and form amendments that would allow Securities Exchange Act of 1934 (Exchange Act) reporting companies to file semiannual reports on a new…
Read more →Exchange of letters between the Governor and the Chancellor on the Asset Purchase Facility - May 2026
Planning for long-term care is a smart way to prepare for the realities of aging. As Americans live longer, more of us will eventually need support later in life — whether through in-home care, assisted living or nursin…
Read more →Deputy Director of Enforcement Jason Burt to Conclude His Tenure at the SEC
The principal theme of Securities Enforcement this year is consistent with the message this Administration has promoted since it began: this Commission and its Enforcement Division are seeking to heighten the level of e…
Read more →Bank Rate maintained at 3.75% - April 2026 Monetary Policy Summary and Minutes
At its meeting ending on 29 April 2026, the Monetary Policy Committee (MPC) voted by a majority of 8–1 to maintain Bank Rate at 3.75%. One member voted to increase Bank Rate by 0.25 percentage points, to 4%.
Read more →Exchange of letters between the Governor and the Chancellor regarding CPI Inflation - April 2026
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Read more →PRA publishes plans to support resilience in the life insurance industry
Under plans in a consultation published today, funded reinsurance – which involves UK life insurers paying a large up-front premium to a reinsurer in return for future payments – would be treated more like other investm…
Read more →Statistical Notice 2026/03 - Bank of England Levy: request for contact details
The Bank of England Levy (the Levy) is a means of funding the costs of the Bank’s policy functions in pursuit of its Financial Stability and Monetary Policy objectives.
Read more →FCA and PRA confirm changes to streamline senior manager accountability and boost growth
Firms will benefit from reduced costs and greater flexibility and find it easier to comply with the Senior Managers and Certification Regime (SM&CR), following reforms set out today by the Financial Conduct Authority (F…
Read more →FPC review of UK bank capital – summary of stakeholder evidence gathering event
On 20 March 2026, The Bank of England hosted an event to gather evidence from a range of stakeholders on the Financial Policy Committee’s (FPC’s) assessment of the appropriate level and structure of bank capital require…
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