Technology & Cyber regulatory updates from United States.
We track 87 Technology & Cyber updates from United States regulators, published by CFTC, SEC and OCC. The archive covers 57 news items, 17 speeches and 6 consultations. Most recent update: September 2026. Coverage runs from 2025 to 2026.
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Why this matters
This is a policy-signaling speech from CFTC Chairman Selig outlining the agency's strategic direction on derivatives market regulation, Treasury market reforms, and emerging technologies.
The Office of the Comptroller of the Currency (OCC) recently updated the structure and references of the OCC Cybersecurity Supervision Work Program (CSW) used by examiners. As cyberattacks evolve and as banks adopt various standardized tools and frameworks to assess cybersecurity preparedness, the OCC continues to…
Why this matters
This is an administrative update to the OCC's Cybersecurity Supervision Work Program that realigns its structure with the updated NIST Cybersecurity Framework. The bulletin explicitly states that no new procedures were added, no new regulatory expectations were established, and banks are not required to use this work...
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Why this matters
The release announces the CFTC Innovation Task Force's plan to host roundtable discussions on innovative financial technologies, with the inaugural forum focused on artificial intelligence and agentic finance.
The Securities and Exchange Commission today issued an order granting temporary, conditional exemptive relief to Tokenized Securities Venues each a “TSV” from the definition of “exchange” in the Securities Exchange Act of 1934 (Exchange Act) to trade…
Why this matters
This is a policy statement and exemptive order from the SEC that creates new regulatory pathways for a broad class of market participants (TSVs, liquidity providers, broker-dealers) to engage in on-chain trading of tokenized NMS stocks.
The Office of the Comptroller of the Currency (OCC), the Board of Governors of the Federal Reserve System (the Board) and the Federal Deposit Insurance Corporation (the FDIC, and collectively, the agencies) are issuing a statement to provide clarity on their risk-based supervision of certain services provided by core…
Why this matters
This is a joint statement from OCC, Federal Reserve, and FDIC providing clarity on supervisory approach to third-party core service providers used by community banking organizations.
Today the Federal Deposit Insurance Corporation, the Federal Reserve Board, the National Credit Union Administration, and the Office of the Comptroller of the Currency (collectively, the agencies) requested comment on proposed guidance to assist financial institutions with managing risks associated with third-party…
Why this matters
This is a multi-agency (FDIC, Federal Reserve, NCUA, OCC) consultation requesting comment on proposed guidance to replace existing third-party risk management rules. The update directly addresses supervisory expectations for managing third-party relationships and core service provider engagement.
The Office of the Comptroller of the Currency (OCC), jointly with the Financial Crimes Enforcement Network (FinCEN), the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation, and the National Credit Union Administration, issued answers to frequently asked questions (FAQ) related…
Why this matters
This is a multi-agency FAQ bulletin providing authoritative clarification on how banks must treat state-issued mobile driver's licenses and other verifiable digital credentials under BSA/AML CIP requirements.
Proposed rule. The U.S. Securities and Exchange Commission ("SEC" or "Commission") is proposing to adopt new rules, amend existing rules, amend the existing form for registration with the Commission as a transfer agent (Form TA-1) and the existing form for reporting activities of transfer agents (Form TA-2), and…
Why this matters
This is a SEC proposed rule (not final) that amends multiple transfer agent rules (17ac2-1, 17ac2-2, 17ad-1 through 17ad-17) and introduces two new rules (17ad-30 on compliance, 17ad-31 on restrictive legends).
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Why this matters
This is a policy speech by CFTC's Director of International Affairs outlining the agency's vision for regulating next-generation derivatives markets characterized by programmable assets, continuous settlement, and autonomous trading.
The Securities and Exchange Commission’s Investor Advisory Committee will host a public meeting at the SEC Headquarters in Washington D.C. on Sept. 10 at 10 a.m. ET to discuss artificial intelligence technologies in the public markets and the SEC’s…
Why this matters
The update announces a forthcoming SEC Investor Advisory Committee meeting to discuss AI technologies in public markets and Regulation National Market System rules.
The Securities and Exchange Commission today announced the agenda and panelists for its Sept. 17, 2026, roundtable on preparations for 24-hour trading.The roundtable will be held at the SEC’s headquarters at 100 F Street, N.E., Washington, D.C., from 10…
Why this matters
The SEC is convening a structured roundtable with senior panelists from exchanges, brokers, asset managers, and infrastructure providers to examine preparations for 24-hour trading.
The Securities and Exchange Commission today proposed to update the rules and forms that apply to registered transfer agents.Transfer agents are a key component of the national clearance and settlement system. Transfer agents now perform a more diverse…
Why this matters
This is a formal SEC rule proposal (consultation) that modernizes legacy regulations governing registered transfer agents, a critical component of the U.S. securities clearance and settlement system.
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Why this matters
The content is a news release announcing the CFTC's Innovation Advisory Committee inaugural meeting. It documents opening remarks from leadership and discussion topics (blockchain, AI, prediction markets) but contains no new rules, consultation periods, enforcement actions, or specific regulatory obligations.
No description available.
On August 20, 2026, CFTC Chairman Michael S. Selig presented a nonbinding innovation agenda covering crypto assets, compute markets, and prediction markets. The speech signals potential rulemaking under existing Commodity Exchange Act authorities, including a possible crypto asset market designation for exchanges and leveraged or margined crypto trading, but it does not itself create new obligations or deadlines.
The Chairman directed CFTC staff to explore rules establishing a CFTC framework for crypto asset markets using existing authorities. The proposed approach could allow current registrants and non-registrant crypto exchanges to be designated as a type of designated contract market called a crypto asset market, with authority to offer crypto asset trading on a leveraged or margined basis under purpose-specific rules; no rule text, eligibility criteria, effective date, or compliance threshold was issued in the speech.
Immediate legal impact is low because the publication is a speech and creates no new binding requirements, registration category, reporting obligation, or compliance deadline. Strategic and regulatory-change impact is material for crypto exchanges, prediction-market operators, and firms developing compute-linked products because the Chairman has directed staff toward potential rulemaking and indicated that the CFTC may use existing authorities if Congress does not enact CLARITY.
AI-generated analysis. May contain errors or omissions — verify with the original CFTC source before acting. Full disclaimer.
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Why this matters
This is a policy speech by CFTC Chairman announcing pro-innovation regulatory direction. While not a binding rule, it provides significant regulatory signals: clarification on crypto securities vs.
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Why this matters
The document is a news announcement of the CFTC's Innovation Advisory Committee inaugural meeting scheduled for August 20, 2026. It identifies discussion topics (crypto assets, AI, prediction markets) and provides logistical details for public participation and comment submission.
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Why this matters
Announcement of inaugural CFTC Innovation Advisory Committee meeting focused on technology and finance intersection. Informational content about regulatory engagement with innovators and entrepreneurs. No immediate compliance deadline or enforcement action.
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Why this matters
CFTC Chairman's op-ed outlining regulatory philosophy on derivatives innovation, crypto asset integration, and perpetual futures. Informational speech establishing policy direction rather than announcing specific regulatory requirements.
PRESS RELEASE | JULY 16, 2026 Agencies Issue Joint Statement on Handling of Highly Sensitive Information During Bank Examinations WASHINGTON — The federal bank regulatory agencies today issued a joint statement describing enhanced security procedures for review of highly sensitive information in connection with…
On 2026-07-16, the FDIC, Federal Reserve Board, and OCC issued a joint statement on how exam teams should handle highly sensitive information during bank examinations. The key compliance issue is not a new substantive prudential rule, but a procedural shift toward tighter controls, including on-site review and other methods intended to reduce cybersecurity and confidentiality risk.
The agencies said they will use a coordinated approach to identify highly sensitive data and documents during examinations and will apply enhanced handling procedures to reduce cybersecurity risk while preserving examiner access. The statement says review may occur on-site rather than by transferring materials onto agency systems, and the agencies may use other protective methods such as direct digital review from the bank's own systems or review of redacted or summarized materials where appropriate.
The publication signals heightened expectations for how examination materials are accessed, reviewed, and protected, especially where cybersecurity exposure is a concern. The agencies frame the change as a confidentiality and operational-control measure rather than a new regulatory standard, but a material breach can trigger prompt bank notification obligations and supervisory scrutiny.
AI-generated analysis. May contain errors or omissions — verify with the original FDIC source before acting. Full disclaimer.
The Office of the Comptroller of the Currency (OCC), along with the Board of Governors of the Federal Reserve System and the Federal Deposit Insurance Corporation (collectively, the agencies), issued a joint statement today on the handling of highly sensitive information during examinations of supervised banks.
Why this matters
This is a policy statement issued jointly by OCC, Federal Reserve, and FDIC addressing examination procedures and data security practices for supervised banks. It establishes binding expectations around identification, minimization, and handling of highly sensitive information, plus a specific 72-hour breach...
Agencies issue joint statement on handling of highly sensitive information during bank examinations
Why this matters
This is a coordinated policy statement from the Federal Reserve, FDIC, and OCC addressing cybersecurity procedures and data breach notification protocols (72-hour requirement) for bank examinations.
Agencies Issue Joint Statement on Handling of Highly Sensitive Information During Bank Examinations The federal bank regulatory agencies today issued a joint statement describing enhanced security procedures for review of highly sensitive information in connection with examinations of supervised banks, such as…
Why this matters
This is a coordinated policy statement from the OCC, Federal Reserve, and FDIC describing enhanced procedures for managing highly sensitive information during bank examinations.
Commissioner Mark T. Uyeda
The SEC proposed Regulation E-Delivery on July 16, 2026, to let covered entities satisfy many federal securities law delivery obligations electronically by default, without first obtaining affirmative consent. The proposal matters because it would replace the SEC’s long-standing opt-in orientation with a rule-based opt-out framework for a broad set of disclosures, while preserving paper delivery rights on request and adding transition notices for recipients moved from paper to electronic delivery.
The proposal would create a new Regulation E-Delivery framework under which covered entities could deliver covered information electronically without first obtaining affirmative consent, provided specified conditions are met. The SEC says the rule would apply broadly across federal securities laws and cover issuers, broker-dealers, investment advisers, and others, including materials such as prospectuses, fund annual and semi-annual shareholder reports, proxy statements, trade confirmations, Form CRS disclosures, and Form ADV Part 2 brochures.
The SEC characterizes the proposal as a broad modernization of delivery mechanics that could significantly reduce paper-based compliance workflows and change default disclosure delivery across the securities industry. If adopted, firms that rely on investor consent processes, paper notices, or legacy delivery controls would face meaningful operational and control redesign obligations, and recipients would retain the right to receive paper on request and to opt out of electronic delivery.
AI-generated analysis. May contain errors or omissions — verify with the original SEC source before acting. Full disclaimer.
The Securities and Exchange Commission today proposed Regulation E-Delivery, a new rule that would expand the ability of issuers, broker-dealers, investment advisers, and others to use electronic delivery to satisfy information delivery requirements…
The SEC has proposed **Regulation E‑Delivery**, a new, technology‑neutral rule that would allow electronic delivery to become the **default method** for satisfying many information delivery requirements under the federal securities laws, while preserving a right to paper on request. This is a material shift away from the long‑standing, guidance‑based and “affirmative consent” model, and will require firms to redesign their disclosure, investor communication and recordkeeping frameworks to comply with new notice, opt‑out and failure‑remediation obligations.
Non‑compliance could result in failures to meet statutory disclosure and delivery obligations, exposing firms to SEC enforcement, supervisory findings, investor complaints, and potential civil liability where investors allege inadequate or inaccessible information. Mismanaged transitions or poor controls around e‑delivery failures may also create conduct risk, reputational damage and remediation costs, particularly for retail and senior investors.
AI-generated analysis. May contain errors or omissions — verify with the original SEC source before acting. Full disclaimer.
Comptroller of the Currency Jonathan V. Gould today issued remarks on his work and progress to ensure the continued relevance of the federal banking system and its ability to meet the evolving financial needs of the American people.
Why this matters
This is a leadership speech marking the Comptroller's one-year tenure. It contains noteworthy policy signals: refocus on material financial risk, support for responsible innovation within federal banking system, deployment of AI/technology in supervision, and reset of supervisory expectations including faster...
Speech At “Next-Gen Financial Inclusion,” the third annual Financial Inclusion Conference hosted by the Federal Reserve Board, Washington, D.C. (via pre-recorded video)
Why this matters
This is a speech by Vice Chair Bowman at the Federal Reserve's Financial Inclusion Conference addressing responsible innovation, particularly AI adoption in banking. The content provides supervisory expectations and regulatory philosophy rather than binding obligations.
Speech At “Next-Gen Financial Inclusion,” the third annual Financial Inclusion Conference hosted by the Federal Reserve Board
Why this matters
This is an informational speech (urgency: null) by Governor Michael S. Barr delivered at the Federal Reserve's Financial Inclusion Conference. It explores two broad scenarios—AI widening or narrowing inequality—and identifies key policy levers (education, competition, tax policy, workforce development) that could...
Speech At a Bank Policy Institute London Conference, London, United Kingdom
Vice Chair for Supervision Michelle Bowman used this Federal Reserve speech to frame a broad U.S. and international push to modernize financial regulation around four principles: focus on material risks, tailor oversight to risk profile, increase transparency/accountability, and stay forward-looking on innovation. For compliance teams, the speech is a clear policy signal that the Federal Reserve is moving toward more risk-based supervision, capital simplification, updated asset thresholds, and more permissive treatment of responsible AI adoption.
This speech does not itself impose binding requirements, but it signals several concrete regulatory and supervisory changes already underway. Bowman said the Federal Reserve is advancing a 2026 Basel III proposal and related capital framework reforms, including a single stack of risk-based capital requirements for large banks, recalibration of the G-SIB surcharge, reduced overlap between stress testing and risk-based capital requirements, and indexing the G-SIB surcharge to nominal economic growth going forward.
The near-term impact is moderate rather than immediate because the speech is policy guidance, not a final rule. However, it signals a material supervisory shift toward reduced burden, more tailored oversight, and greater emphasis on material risk, which may affect how examinations, capital planning, and governance expectations evolve.
AI-generated analysis. May contain errors or omissions — verify with the original Federal Reserve source before acting. Full disclaimer.
Speech At the Financial Stability Board Virtual Outreach Event
Why this matters
This is a speech by Federal Reserve Vice Chair Bowman introducing the FSB's consultation report on sound practices for AI adoption in financial institutions. The content explicitly discusses governance, controls, materiality assessment, and proportionality in AI deployment across institutions of varying sizes.
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Why this matters
Op-ed commentary from CFTC Chairman criticizing Illinois's 0.2% crypto transaction tax as anti-innovation policy. Addresses blockchain technology adoption, regulatory clarity, and competitive positioning of financial markets. Informational/opinion content rather than binding regulatory action, hence null urgency.
Speech At the Fifth Conference on the International Roles of the Dollar, Board of Governors of the Federal Reserve System, Washington, D.C.
Why this matters
This is a welcoming speech by Fed Governor Waller at a conference on the international role of the U.S. dollar, with specific focus on how stablecoins and distributed ledger technologies are reshaping payment systems, foreign exchange markets, and dollar intermediation.
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Why this matters
CFTC request for information on regulatory barriers for fintech partnerships with federally regulated institutions. Focuses on streamlining processes and facilitating innovation in derivatives/trading and payments sectors. Informational RFI with 21-day comment period; no immediate compliance deadline.
No description available.
Why this matters
This is an informational announcement of CFTC senior staff appointments. The Chief Data Innovation Officer role focuses on data science, blockchain forensics, and AI solutions relevant to capital markets and crypto regulation. The Chicago Regional Administrator appointment addresses derivatives market oversight.
The U.S. Securities and Exchange Commission established joint data standards under the Financial Data Transparency Act of 2022. The final rule establishes technical standards for data submitted to certain financial regulatory agencies. Eight additional…
The SEC has adopted **joint data standards** under the Financial Data Transparency Act of 2022 (FDTA) to govern how data is formatted and submitted to specified U.S. financial regulators, including the SEC. This materially raises the bar on data structure, tagging, and interoperability for regulatory reporting and disclosures, requiring firms to shift from document-centric to **machine‑readable, standardized data** across multiple reporting regimes.
The impact is high, because the rule drives structural changes to how regulatory data is formatted, governed, and submitted, with material systems and process implications across multiple reporting regimes. Non‑compliance may result in rejected filings, late‑filing violations, enforcement risk, and increased scrutiny over the accuracy and reliability of reported data.
AI-generated analysis. May contain errors or omissions — verify with the original SEC source before acting. Full disclaimer.
No description available.
Why this matters
CFTC announces establishment of joint data standards under Financial Data Transparency Act of 2022, affecting multiple financial regulatory agencies and market participants. This is informational guidance on standardized data reporting requirements across banking, capital markets, and payments sectors.
The Securities and Exchange Commission today published a Draft Strategic Plan that focuses on returning the agency to the core mission set by Congress more than 90 years ago: protecting investors; maintaining fair, orderly, and efficient…
The SEC has issued a **Draft Strategic Plan for public comment** that sets out three agency-wide priorities: refocusing regulation on investor protection, market efficiency, and capital formation; improving stakeholder engagement and compliance facilitation; and modernizing internal operations and technology. For compliance teams, this matters because it signals where the Commission may concentrate rulemaking, examinations, enforcement, and disclosure modernization over the planning horizon.
The immediate legal risk is low because this is a consultation document, not a binding rule, but the strategic direction is important for supervisory planning, examination priorities, and future rulemaking. Firms that fail to engage or prepare may face higher remediation costs later if the SEC follows through on disclosure, enforcement, or technology changes.
AI-generated analysis. May contain errors or omissions — verify with the original SEC source before acting. Full disclaimer.
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The CFTC has implemented a technical enhancement to its electronic Portal system that allows exchanges to submit a single set of product self‑certification documents covering multiple closely related contracts in one consolidated filing. This matters for compliance teams at CFTC‑registered exchanges because it changes the *operational* process for Part 40 product submissions, reduces duplicative documentation, and will require updates to internal procedures, templates, and controls governing self‑certifications.
Non‑compliance with the updated filing process is unlikely to result in direct enforcement, but incorrect or incomplete use of consolidated submissions could delay product listings, prompt CFTC information requests, or lead to questions regarding the adequacy and completeness of self‑certification packages. Over time, persistent deficiencies in product submissions could increase regulatory scrutiny of a venue’s compliance controls and governance around new product listings.
AI-generated analysis. May contain errors or omissions — verify with the original CFTC source before acting. Full disclaimer.
The Securities and Exchange Commission (SEC) and National Futures Association (NFA) today announced that they have entered into a Memorandum of Understanding (MOU) to enhance their cooperation, coordination, and information sharing in areas of common…
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The Securities and Exchange Commission today charged 21 individuals for their alleged involvement in a decade-long insider trading scheme that used information misappropriated from multiple global law firms and resulted in millions of dollars in illicit…
Staff in the Securities and Exchange Commission’s Divisions of Investment Management and Corporation Finance issued guidance addressing certain questions regarding the application of the federal securities laws to pooled employer plans (PEPs), which help…
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The Securities and Exchange Commission today announced the launch of Material Matters With SEC Chairman Paul Atkins, a new podcast that provides stakeholders and the investing public with exclusive interviews and insights around the agency’s policy and…
Why this matters
This regulatory update announces the launch of a new SEC podcast that will provide insights and interviews related to the agency's policies and activities. As an informational announcement, the urgency is low, but the content is relevant to capital markets, investment management, and wealth management firms, as well...
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Why this matters
This announcement establishes a new Innovation Task Force at the CFTC to develop a regulatory framework for emerging technologies like crypto assets, blockchain, AI, and prediction markets.
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Why this matters
This regulatory update from the CFTC Chairman discusses key priorities and initiatives around restoring American leadership in financial markets, particularly in the areas of crypto assets, prediction markets, and supporting agricultural businesses.
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Why this matters
This regulatory update announces the formation of a new Innovation Task Force at the CFTC to develop a clear regulatory framework for innovators focused on crypto assets, blockchain, AI, and prediction markets.
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Why this matters
The speech discusses the CFTC's priorities under the new chairman, including harmonization efforts with the SEC, reevaluating Dodd-Frank regulations, and addressing new areas of responsibility such as AI, crypto, and prediction markets.
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The CFTC issued FAQs on March 20, 2026, providing clarification on how registered entities and market participants should handle crypto assets and blockchain technologies in their operations, building directly on the agency's tokenized collateral guidance and no-action relief issued in late 2025 and early 2026. This guidance is critical because it operationalizes the SEC-CFTC joint interpretation issued just three days earlier (March 17, 2026), which established a binding regulatory framework classifying 16 crypto assets as digital commodities and clarifying the treatment of non-security crypto assets under federal law.
Urgency: CRITICAL
AI-generated analysis. May contain errors or omissions — verify with the original CFTC source before acting. Full disclaimer.
No description available.
Why this matters
This regulatory update from the CFTC Chairman discusses the role of decentralized finance and prediction markets in rebuilding trust in financial and information systems. It covers topics related to crypto regulation, market transparency, and the evolution of financial markets. The content is informational in nature.
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Why this matters
This regulatory update announces the appointment of a new Director of the Division of Data and Chief Data Officer at the CFTC. This is a significant leadership change that will impact data strategy, analytics, and oversight across the derivatives markets.
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Why this matters
This regulatory update from the CFTC Chairman covers key topics related to the oversight and regulation of crypto assets, digital markets, and prediction markets. It indicates a focus on future-proofing regulations, promoting innovation, and addressing market integrity and transparency concerns.
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Why this matters
This regulatory update announces the appointment of a new Director of the Office of Legislative and Intergovernmental Affairs at the CFTC. This is relevant for banking, capital markets, and consumer credit firms, as the CFTC oversees these sectors.
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Why this matters
This regulatory update announces senior staff appointments at the CFTC, including a new director of public affairs, a senior agriculture advisor, and two senior advisors to the Chairman. The appointments cover areas related to technology, crypto, and governance, which are of medium importance for financial firms.
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Why this matters
This regulatory update from the CFTC announces the formation of an Innovation Advisory Committee to help the agency keep pace with technological innovations in the derivatives and commodity markets, particularly in areas like AI and blockchain.
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Why this matters
This regulatory update from the CFTC targets relationship investment scams, which are a form of fraud involving crypto assets and targeting consumers. It is relevant for banking, investment management, and crypto firms, as well as broader consumer protection.
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Why this matters
This regulatory update from the CFTC is relevant to firms involved in the payment stablecoin ecosystem, including banks, fintechs, and payment providers. It updates the definition of 'payment stablecoin' to include those issued by national trust banks, which is an important development in the regulation of this...
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Securities and Exchange Commission Chairman Paul S. Atkins and Commodity Futures Trading Commission Chairman Michael S. Selig will hold a joint event, previously scheduled for Jan. 27, now rescheduled for Thursday, Jan. 29, from 2 p.m. to 3 p.m. at CFTC…
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Why this matters
This regulatory update announces a joint event between the CFTC and SEC to discuss harmonization efforts and U.S. leadership in the crypto industry. This is a high priority topic for crypto and fintech firms as it impacts licensing, regulation, and the overall crypto ecosystem in the U.S.
Securities and Exchange Commission Chairman Paul S. Atkins and Commodity Futures Trading Commission Chairman Michael S. Selig will hold a joint event on Tuesday, Jan. 27, from 10 a.m. to 11 a.m. at CFTC headquarters to discuss harmonization between the…
Why this matters
This regulatory update discusses a joint event between the SEC and CFTC to discuss harmonization and U.S. financial leadership in the crypto era. This is relevant for banking, capital markets, and crypto firms in terms of authorization, reporting, and technology/cyber issues.
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Why this matters
This regulatory update from the CFTC Chairman discusses the future of US financial markets, with a focus on the emergence of new technologies like blockchain and AI, as well as the regulation of digital assets and prediction markets.
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Why this matters
This regulatory update announces senior staff appointments at the CFTC, including a new senior advisor with experience in crypto asset regulatory matters. This is relevant for crypto exchanges, fintechs, and others operating in the digital asset space as it signals the CFTC's focus on this sector.
The Securities and Exchange Commission today announced that Keith E. Cassidy has been appointed Director of the Division of Examinations. Mr. Cassidy has served as Acting Director since May 2024 and previously was the division’s Deputy Director, Acting…
Why this matters
This regulatory update announces the appointment of a new Director of the SEC's Division of Examinations, which is responsible for overseeing compliance and risk management across financial firms.
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Why this matters
This news item announces the launch of the CFTC Innovation Advisory Committee, which is focused on emerging financial technologies and digital assets. This is relevant for fintech firms and crypto exchanges that may interact with or be regulated by the CFTC.
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Why this matters
This regulatory update from the CFTC appears to be related to a new pilot program focused on unleashing American energy dominance, which could impact capital markets and crypto/digital asset firms. The topics of technology/cyber and authorization/licensing are likely relevant.
The Securities and Exchange Commission’s Office of the Investor Advocate today delivered its Report on Activities for the Fiscal Year 2025 to Congress, highlighting the initiatives and work of the office during the fiscal year.The report includes:An…
Why this matters
This regulatory update from the SEC's Office of the Investor Advocate covers activities related to investment management, capital markets, and crypto/digital assets. It focuses on consumer protection, reporting/disclosure, and technology/cyber issues, which are relevant to a wide range of financial firms.
No description available.
Why this matters
This speech by the CFTC Acting Chairman is likely to cover regulatory developments and priorities related to banking, capital markets, and the crypto/digital assets sector.
The Securities and Exchange Commission’s Crypto Task Force has announced the agenda and panelists for its rescheduled Roundtable on Financial Surveillance and Privacy.“New technologies give us a fresh opportunity to recalibrate financial surveillance…
Why this matters
This regulatory update from the SEC's Crypto Task Force focuses on financial surveillance and privacy, which are key topics for banking, investment management, and crypto/digital asset firms.
The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on Dec. 4, 2025, at 10 a.m. ET. The meeting will be webcast on the SEC website.The committee will host two panels:Regulatory Changes in Corporate…
Why this matters
This regulatory update from the SEC covers changes to corporate governance and the tokenization of equity securities, which are relevant to capital markets, crypto/digital assets firms, and the broader financial industry. The topics of reporting, disclosure, authorization, and technology/cyber are key areas of focus.
The Securities and Exchange Commission’s Crypto Task Force has rescheduled its Financial Surveillance and Privacy Roundtable, previously scheduled for October, to Monday, Dec. 15, 2025.“I am looking forward to getting this event back on the calendar…
Why this matters
This regulatory update from the SEC is relevant to firms in the banking, capital markets, and crypto/digital asset sectors. It covers topics related to AML/financial crime, consumer protection, and technology/cyber issues.
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Why this matters
This keynote address by the CFTC Acting Chairman is likely to cover topics related to the regulation and oversight of capital markets, including crypto and digital asset activities.
The Securities and Exchange Commission’s Division of Examinations today released its 2026 examination priorities. The Division publishes its annual examination priorities to provide transparency to registrants and investors about the topics that the…
Why this matters
This regulatory update from the SEC's Division of Examinations outlines its 2026 priorities, which are likely to impact investment managers, broker-dealers, and crypto exchanges through increased focus on technology/cyber risks, reporting and disclosure requirements, and licensing/authorization procedures.
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Why this matters
This speech from the CFTC Acting Chairman discusses regulatory harmonization efforts between the SEC and CFTC, which is relevant for firms operating in the banking, capital markets, and crypto/digital asset sectors.
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Why this matters
This speech by the CFTC Acting Chairman discusses digital assets policy and regulation, which is relevant to crypto exchanges and fintech firms operating in the digital asset space. The topics of authorization/licensing and technology/cyber are likely to be covered.
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Why this matters
This appears to be a regulatory update from the CFTC regarding the Spring 2025 Unified Agenda. It is likely to impact a range of financial firms including banks, broker-dealers, crypto exchanges, and fintechs, particularly in areas related to licensing, reporting, and technology/cyber issues.