Regulation
Financial regulation updates.
Official notices and regulatory developments organized for verification.
Agency Information Collection Request: 3206-0218, Death Benefit Payment Rollover, RI 94-7
Retirement Services offers the general public and other Federal agencies the opportunity to comment on the reinstatement of an expired information collection request (ICR), Death Benefit Payment Rollover, RI 94-7.
Read update →Further Definition of “Swap” To Exclude Casino-Style Gambling Products
The Commodity Futures Trading Commission (‘Commission’ or ‘CFTC’) is adopting an interim final rule (‘Interim Final Rule’) to codify its longstanding position that casino-style gambling products, including wagers placed on sportsbooks and casino games, are excluded from the ‘swap’ definition.
Read update →Further Definition of “Swap”-Inclusions
Consistent with its jurisdiction over swaps, the Commodity Futures Trading Commission (‘Commission’ or ‘CFTC’) is proposing to further define the term ‘swap’ to explicitly include event contracts, including those based on sports-, politics-, cultural-, and weather- related events (the ‘Proposal’).
Read update →Agency Information Collection Request: 3206-NEW, Annuitant Verification Form, RI 20-129
Retirement Services offers the general public and other Federal agencies the opportunity to comment on a new information collection request (ICR), Annuitant Verification Form, RI 20-129.
Read update →Non-Applicability of Section 357(c) to Consolidated Groups
This document contains final regulations clarifying that, in the case of certain transfers between members of a consolidated group, a transferee's assumption of certain liabilities will not reduce the transferor's basis in the transferee's stock received in the transfer. These final regulations affect consolidated groups and their members.
Read update →Corporate Credit Unions; Fidelity Bond and Insurance Coverage for Federally Insured Credit Unions
The NCUA Board (Board) seeks comment on proposed amendments to its regulations governing fidelity bond and insurance coverage for federally insured credit unions (FICUs). The proposed rule would eliminate certain prescriptive procedural mandates and simplify requirements for coverage amounts and deductibles. The intended effect is greater flexibility for FICUs, simplified compliance, and reduced administrative costs without compromising safety and soundness.
Read update →Powers of Federal Credit Unions
The NCUA Board (Board) is proposing to amend the NCUA's regulations regarding incidental powers to clarify that federal credit unions (FCUs) are not required to seek an advisory opinion from the NCUA's Office of General Counsel before petitioning the Board to engage in an activity that does not fall within an FCU's preapproved incidental powers.
Read update →Central Liquidity Facility
The NCUA Board (Board) is proposing to adopt as final the revisions to the Central Liquidity Facility (CLF) rule made under two interim final rules (IFRs) published in the Federal Register on April 29, 2020, and March 24, 2021. The proposal would adopt the amendments made by these IFRs and, where appropriate, would remove provisions from the NCUA's regulations that have lapsed under the terms of the IFRs. The proposal would also remove or modify certain filing requirements and criteria the Board uses to approve CLF members. Finally, the proposal would amend the timing requirements related to pay adjustments to the capital stock subscription, clarify various regulatory provisions, and make necessary conforming edits.
Read update →SEC Small Business Advisory Committee to Discuss IPO Modernization and Regulation Crowdfunding
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee announced that it will hold a meeting on Tuesday, October 27, 2026, at 10 a.m. to continue discussing IPO modernization and explore potential policy changes to Regulation Crowdfunding.
Read update →Allocation of Assets in Single-Employer Plans; Interest Assumptions for Valuing Benefits
This final rule amends the Pension Benefit Guaranty Corporation's regulation on Allocation of Assets in Single-Employer Plans to prescribe the spreads component of the interest assumption under the asset allocation regulation for plans with valuation dates of October 31, 2026-January 30, 2027. These interest assumptions are used for valuing benefits under terminating single-employer plans and for other purposes.
Read update →Regulation Crypto Asset Transactions and Regulation Crypto Asset Markets
The Commodity Futures Trading Commission (‘Commission’ or ‘CFTC’) is issuing an advanced notice of proposed rulemaking regarding section 2(c)(2)(D) of the Commodity Exchange Act (‘CEA’ or ‘Act’) to provide notice and seek public comment on its intent to develop and establish fit-for-purpose rules implementing section 2(c)(2)(D) of the Act with respect to transactions and markets in crypto assets.
Read update →SEC Proposes Expanding Securities Eligible for Cross Trading by Registered Funds
The Securities and Exchange Commission proposed amendments to the Investment Company Act “cross-trading rule,” which permits transactions in securities between a registered fund and its affiliates under certain conditions. The proposed amendments would modernize and expand the cross-trading rule and would allow cross trades that are beneficial to registered funds and their shareholders (by, for example, reducing a fund’s trading costs), subject to enhanced investor protection measures.
Read update →Certain Paper Shopping Bags From Cambodia: Preliminary Results of Antidumping Duty Administrative Review; 2024-2025
The U.S. Department of Commerce (Commerce) preliminarily determines that certain paper shopping bags (paper shopping bags) from Cambodia were sold in the United States at less than normal value (NV) during the period of review (POR), January 3, 2024, through June 30, 2025. Interested parties are invited to comment on these preliminary results of review.
Read update →Certain Hot-Rolled Steel Flat Products From the Republic of Korea: Final Results of Countervailing Duty Administrative Review; 2023
The U.S. Department of Commerce (Commerce) determines Hyundai Steel Company (Hyundai Steel) and POSCO, producers/exporters of certain hot-rolled steel flat products (hot-rolled steel) from the Republic of Korea (Korea), received countervailable subsidies during the period of review (POR) January 1, 2023, through December 31, 2023.
Read update →Passenger Vehicle and Light Truck Tires From Thailand: Preliminary Results and Rescission, in Part, of Antidumping Duty Administrative Review; 2024-2025
The U.S. Department of Commerce (Commerce) preliminarily determines that passenger vehicle and light truck tires (PVLT) from Thailand were sold in the United States at less than normal value during the period of review (POR) July 1, 2024, through June 30, 2025. Interested parties are invited to comment on these preliminary results.
Read update →First Student–Autumn Deal Gets Tentative STB Approval
The STB tentatively approved First Student's Autumn and Ambassador acquisition. Comments are due November 23; approval takes effect November 24 if unopposed.
Read update →Application of the Personal Responsibility and Work Opportunity Reconciliation Act of 1996 to the Refunded Portion of Certain Federal Refundable Tax Credits; Hearing Cancellation
This document cancels a public hearing on proposed regulations (REG-119882-25) published in the Federal Register on August 20, 2026. The proposed regulations would provide that the refunded portion of certain refundable Federal income tax credits available to individuals is a ‘Federal public benefit’ under the Personal Responsibility and Work Opportunity Reconciliation Act of 1996 (PRWORA).
Read update →Forged Steel Fluid End Blocks From Germany: Final Results of the Antidumping Duty Administrative Review; 2024
The U.S. Department of Commerce (Commerce) determines that BGH Edelstahl Siegen GmbH did not make sales of certain forged steel fluid end blocks (fluid end blocks) from Germany at less than normal value during the period of review (POR), January 1, 2024, through December 31, 2024.
Read update →Certain Paper Shopping Bags From Taiwan: Preliminary Results and Rescission, in Part, of Antidumping Duty Administrative Review; 2024-2025
The U.S. Department of Commerce (Commerce) is conducting an administrative review of the antidumping duty (AD) order on certain paper shopping bags (paper bags) from Taiwan for the period of review (POR) January 3, 2024, through June 30, 2025. Commerce preliminarily finds that Haur Tyi Paper Bag Co., Ltd (Haurtyi) did not make sales of subject merchandise at prices below normal value (NV) during the POR. Additionally, we are rescinding this review, in part, with respect to five companies for which all requests for review were withdrawn. We invite interested parties to comment on these preliminary results.
Read update →N-Cyclohexylbenzothiazole-2-Sulfenamide From the People's Republic of China: Preliminary Affirmative Countervailing Duty Determination, Preliminary Affirmative Critical Circumstances Determination, and Alignment of Final Determination With Final Antidumping Duty Determination
The U.S. Department of Commerce (Commerce) preliminarily determines that countervailable subsidies are being provided to producers and exporters of N-Cyclohexylbenzothiazole-2-Sulfenamide (CBS) from the People's Republic of China (China). The period of investigation is January 1, 2025, through December 31, 2025. Interested parties are invited to comment on this preliminary determination.
Read update →Notice of Scope Ruling Applications Filed in Antidumping and Countervailing Duty Proceedings
The U.S. Department of Commerce (Commerce) received scope ruling applications, requesting that scope inquiries be conducted to determine whether identified products are covered by the scope of antidumping duty (AD) and/or countervailing duty (CVD) orders and that Commerce issue scope rulings pursuant to those inquiries. In accordance with Commerce's regulations, we are notifying the public of the filing of the scope ruling applications listed below in the month of August 2026.
Read update →Certain Steel Nails From the Republic of Korea: Preliminary Results and Rescission, in Part of Antidumping Duty Administrative Review; 2024-2025
The U.S. Department of Commerce (Commerce) preliminarily determines that producers/exporters subject to this review made sales of subject merchandise at less than normal value (NV) during the period of review (POR), July 1, 2024, through June 30, 2025. In addition, we are rescinding the review with respect to three companies. Interested parties are invited to comment on these preliminary results of review.
Read update →Certain Corrosion-Resistant Steel Products From the Republic of Korea: Preliminary Results and Rescission, in Part, of Antidumping Duty Administrative Review; 2024-2025
The U.S. Department of Commerce (Commerce) preliminarily determines that producers/exporters subject to this review made sales of subject merchandise at less than normal value (NV) during the period of review (POR), July 1, 2024, through June 30, 2025. Interested parties are invited to comment on these preliminary results of review.
Read update →Certain Corrosion-Resistant Steel Products From the Republic of Korea: Preliminary Results and Recission, In Part, of Countervailing Duty Administrative Review; 2024
The U.S. Department of Commerce (Commerce) preliminarily determines that countervailable subsidies were provided to producers and exporters of certain corrosion-resistant steel products (CORE) from the Republic of Korea (Korea), during the period of review (POR) January 1, 2024, through December 31, 2024. In addition, Commerce is rescinding this review with respect to Dongkuk Coated Metal Co., Ltd (Dongkuk CM). Interested parties are invited to comment on these preliminary results.
Read update →Certain Paper Shopping Bags From India: Preliminary Results and Rescission, in Part of Antidumping Duty Administrative Review; 2024-2025
The U.S. Department of Commerce (Commerce) preliminarily determines that Ckaari Packaging Private Limited (Ckaari) and Velvin Packaging Solution Private Limited, Velvin Paper Products, and the Velvin Group (collectively, Velvin) made sales of certain paper shopping bags (paper bags) from India at less than normal value (NV) during the period of review (POR), January 3, 2024, through June 30, 2025. In addition, we are rescinding the review, in part, with respect to seven companies. Interested parties are invited to comment on these preliminary results of review.
Read update →Certain Paper Shopping Bags From Malaysia: Preliminary Results, Preliminary Determination of No Shipments and Rescission, in Part, of Antidumping Duty Administrative Review; 2024-2025
The U.S. Department of Commerce (Commerce) preliminarily determines that Hexachase Packaging Sdn. Bhd. (Hexachase) made sales of subject merchandise at less than normal value (NV) during the period of review (POR), January 3, 2024, through June 30, 2025. Commerce also preliminarily determines that Sin Boon Beng Printing Sdn. Bhd. (SBBP), made no shipments during the POR. Finally, we are rescinding the review with respect to two companies. Interested parties are invited to comment on these preliminary results of review.
Read update →Certain Paper Shopping Bags From Colombia: Preliminary Results of Antidumping Duty Administrative Review; 2024-2025
The U.S. Department of Commerce (Commerce) preliminarily finds that Ditar S.A. (Ditar) made sales of certain paper shopping bags (paper shopping bags) from Colombia at less than normal value (NV) during the period of review (POR), January 3, 2024, through June 30, 2025. We invite interested parties to comment on these preliminary results.
Read update →SEC Seeks Final Judgment Against Former Western Asset Co-CIO Ken Leech in Cherry Picking Case
The Securities and Exchange Commission moved for entry of a final judgment by consent against Stephen Kenneth Leech II, the former co-chief investment officer of registered investment adviser Western Asset Management Company LLC, whom the SEC previously charged with a multi-year cherry-picking allocation scheme.
Read update →SEC to Host Virtual National Compliance Outreach Seminar for Investment Companies and Investment Advisers
The Securities and Exchange Commission’s Compliance Outreach Program announced that it will host a virtual national seminar for investment companies and investment advisers on November 19, 2026. The purpose of the event is to help chief compliance officers and senior personnel at investment advisory firms and investment companies enhance their compliance programs to protect investors.
Read update →Investment Adviser Performance-Based Compensation Modernization
The Securities and Exchange Commission (the ‘Commission’) is proposing to amend the rule under the Investment Advisers Act of 1940 that provides an exemption from the statutory prohibition on registered investment advisers receiving compensation on the basis of a share of capital gains in or capital appreciation of an advisory client's account. Specifically, the proposed amendments would expand the ability of investment advisers to receive this compensation from clients that are registered management investment companies and business development companies (collectively, ‘regulated funds’), subject to certain conditions. The proposal would relatedly amend certain regulated fund registration and reporting forms to require separate disclosure of all performance-based compensation paid by regulated funds to their investment adviser. The proposed rule amendments would also allow investment advisers to receive this compensation from additional clients by revising the rule's ‘qualified client’ definition to include investors that meet the ‘accredited investor’ definition in Regulation D under the Securities Act of 1933. The proposal would relatedly make conforming amendments to certain other rules under the Investment Advisers Act of 1940 whose provisions reference the ‘qualified client’ definition.
Read update →Drawn Stainless Steel Sinks From the People's Republic of China: Final Results of the Expedited First and Second Sunset Reviews of the Countervailing Duty Order; Correction
The U.S. Department of Commerce (Commerce) published notice in the Federal Register of July 25, 2018 and October 20, 2023 in which Commerce announced the final results of the first and second sunset reviews of the countervailing duty (CVD) order on drawn stainless steel sinks from the People's Republic of China (China). These notices incorrectly stated an all-others rate of 8.61 percent.
Read update →Large Diameter Welded Pipe From the Republic of Türkiye: Final Results of Countervailing Duty Administrative Review; 2024
The U.S. Department of Commerce (Commerce) determines countervailable subsidies were provided to HDM Çelik Boru Sanayi Ve Ticaret A.S. (HDM Çelik), a producer/exporter of large diameter welded pipe (welded pipe) from the Republic of Türkiye (Türkiye) during the period of review, January 1, 2024, through December 31, 2024.
Read update →Certain Uncoated Paper From Portugal: Final Results of Antidumping Duty Administrative Review; 2024-2025
The U.S. Department of Commerce (Commerce) determines that The Navigator Company, S.A (Navigator), the only producer/exporter subject to this review, made sales of subject merchandise at less than normal value (NV) during the period of review (POR), March 1, 2024, through February 28, 2025.
Read update →Certain Frozen Warmwater Shrimp From Thailand: Final Results of Antidumping Duty Administrative Review and Final Determination of No Shipments; 2024-2025
The U.S. Department of Commerce (Commerce) determines that certain producers/exporters subject to this administrative review made sales of certain frozen warmwater shrimp (shrimp) from Thailand at less than normal value during the period of review (POR), February 1, 2024, through January 31, 2025.
Read update →Oil Country Tubular Goods From Ukraine: Preliminary Results of Antidumping Duty Administrative Review; 2024-2025
The U.S. Department of Commerce (Commerce) preliminarily determines that the producer/exporter subject to this review made sales of subject merchandise at less than normal value (NV) during the period of review (POR), July 01, 2024, through June 30, 2025. Interested parties are invited to comment on these preliminary results of review.
Read update →Passenger Vehicle and Light Truck Tires From the Socialist Republic of Vietnam: Final Results of the Expedited First Sunset Review of the Countervailing Duty Order
The U.S. Department of Commerce (Commerce) finds that revocation of the countervailing duty (CVD) order on passenger vehicle and light truck tires (PVLT) from the Socialist Republic of Vietnam (Vietnam) would be likely to lead to continuation or recurrence of countervailable subsidies at the levels indicated in the ‘Final Results of Sunset Review’ section of this notice.
Read update →Potassium Phosphate Salts From the People's Republic of China: Final Results of the Expedited Third Sunset Review of the Antidumping Duty Order
The U.S. Department of Commerce (Commerce) finds that revocation of the antidumping duty (AD) order on certain potassium phosphate salts (salts) from the People's Republic of China (China) would be likely to lead to continuation or recurrence of dumping, at the levels indicated in the ‘Final Results of Sunset Review’ section of this notice.
Read update →Certain Potassium Phosphate Salts From the People's Republic of China: Final Results of the Expedited Third Sunset Review of the Countervailing Duty Order
The U.S. Department of Commerce (Commerce) finds that revocation of the countervailing duty (CVD) order on certain potassium phosphate salts (phosphate salts) from the People's Republic of China (China) would be likely to lead to continuation or recurrence of countervailable subsidies at the levels indicated in the ‘Final Results of Sunset Review’ section of this notice.
Read update →Large Diameter Welded Pipe From the Republic of Türkiye: Final Results of Antidumping Duty Administrative Review; 2024-2025; Correction
The U.S. Department of Commerce (Commerce) published notice in the Federal Register of September 25, 2026, in which Commerce announced the final results of the 2024-2025 administrative review of the antidumping duty (AD) order on large diameter welded pipe (welded pipe) from the Republic of Türkiye (Türkiye). This notice corrects the name of Cimtas Boru Imalatlari ve Ticaret Ltd., a company that was not selected for individual examination.
Read update →Certain Cut-to-Length Carbon Steel Plate From the People's Republic of China and the Russian Federation: Final Results of the Expedited Fifth Sunset Reviews of the Antidumping Duty Orders
The U.S. Department of Commerce (Commerce) finds that revocation of the antidumping duty (AD) orders on certain cut-to-length carbon steel plate (CTL plate) from the People's Republic of China (China) and the Russian Federation (Russia) would be likely to lead to continuation or recurrence of dumping, at the levels indicated in the ‘Final Results of Sunset Reviews’ section of this notice.
Read update →Mattresses From Poland: Preliminary Intent To Rescind Antidumping Duty Administrative Review; 2024-2025
The U.S. Department of Commerce (Commerce) preliminarily determines that CORRECT--K. Błaszczyk i Wspólnicy Sp. K. (CORRECT) did not make a bona fide sale of mattresses from Poland during the period of review (POR) of July 1, 2024 through June 30, 2025. Therefore, Commerce preliminarily intends to rescind this administrative review.
Read update →Melamine From the People's Republic of China: Final Results of the Expedited Second Sunset Review of the Antidumping Duty Order
The U.S. Department of Commerce (Commerce) finds that revocation of the antidumping duty (AD) order on melamine from the People's Republic of China (China) would be likely to lead to continuation or recurrence of dumping, at the levels indicated in the ‘Final Results of Sunset Review’ section of this notice.
Read update →Methionine From France, Japan, and Spain: Final Results of the Expedited First Sunset Reviews of the Antidumping Duty Orders
The U.S. Department of Commerce (Commerce) finds that revocation of the antidumping duty (AD) orders on methionine from France, Japan, and Spain would be likely to lead to continuation or recurrence of dumping, at the levels indicated in the ‘Final Results of Sunset Reviews’ section of this notice.
Read update →Antidumping or Countervailing Duty Order, Finding, or Suspended Investigation; Opportunity To Request Administrative Review and Join Annual Inquiry Service List; Note Regarding Format of Review Requests
(1) new interested parties who did not previously submit an entry of appearance must submit a new entry of appearance at this time; (2) interested parties who were included in the preceding annual inquiry service list must submit an amended entry of appearance to be included in the next year's annual inquiry service list.
Read update →Polyethylene Terephthalate Film, Sheet, and Strip From Taiwan: Preliminary Results and Preliminary Intent To Rescind, In Part, of Antidumping Duty Administrative Review; 2024-2025
The U.S. Department of Commerce (Commerce) preliminarily determines that Nan Ya Plastics Corporation (Nan Ya) made sales of polyethylene terephthalate film, sheet, and strip (PET film) from Taiwan at less than normal value (NV) during the period of review (POR) July 1, 2024, through June 30, 2025. Further, we preliminarily find that Shinkong Materials Technology Corporation (SMTC) and Shinkong Synthetic Fiber Corporation (SSFC), which we consider to be a single entity (SMTC/SSFC), had no reviewable entries during the POR. Interested parties are invited to comment on the preliminary results of this review.
Read update →Federal Scholarship Tax Credit
This document contains proposed regulations regarding the nonrefundable Federal tax credit for qualified contributions to scholarship granting organizations to fund qualified elementary and secondary school education scholarships. The proposed regulations would affect taxpayers who make such qualified contributions, States that elect to participate by certifying organizations as scholarship granting organizations, and the organizations that have been certified as scholarship granting organizations by one or more electing States. This document also provides notice of a public hearing on the proposed regulations.
Read update →SEC Proposal Would Address How Investment Advisers and Funds Can Custody Crypto Assets Under the Federal Securities Laws
The Securities and Exchange Commission proposed new rules and amendments to provide a tailored framework for the custody of crypto assets for registered investment advisers and regulated funds, i.e. registered investment companies and business development companies.
Read update →Stationary and Portable Air Compressors From the People's Republic of China: Preliminary Affirmative Countervailing Duty Determination and Alignment of Final Determination With Final Antidumping Duty Determination
The U.S. Department of Commerce (Commerce) preliminarily determines that countervailable subsidies are being provided to producers and exporters of stationary and portable air compressors (air compressors) from the People's Republic of China (China). The period of investigation is January 1, 2025, through December 31, 2025. Interested parties are invited to comment on this preliminary determination.
Read update →Stationary and Portable Air Compressors From Malaysia: Preliminary Affirmative Countervailing Duty Determination and Alignment of Final Determination With Final Antidumping Duty Determination
The U.S. Department of Commerce (Commerce) preliminarily determines that countervailable subsidies are being provided to producers and exporters of stationary and portable air compressors (air compressors) from Malaysia. The period of investigation is January 1, 2025, through December 31, 2025. Interested parties are invited to comment on this preliminary determination.
Read update →SEC Charges Registered Investment Adviser Zoe Financial for Failure to Disclose Conflict of Interest
The Securities and Exchange Commission announced settled charges against New York-based investment adviser Zoe Financial Inc. for failing to fully and fairly disclose material facts concerning conflicts of interest to its clients and prospective clients.
Read update →SEC Charges Multiple Entities in Fraud Schemes Totaling at Least $15 Million That Used WhatsApp and Other Platforms to Lure Investors
The Securities and Exchange Commission charged multiple entities that are likely operated by individuals located overseas for defrauding hundreds of retail investors, including many in the U.S., through so-called investment confidence scams where the perpetrators sought to build online relationships with unsuspecting clients before stealing their money.
Read update →SEC Proposes Amendments to Expand Responsible Retailization of Private Markets
The Securities and Exchange Commission voted to propose rule amendments that would facilitate capital formation in the public and private markets by expanding retail investor choice and promoting innovation in regulated fund structures while preserving appropriate investor protections and safeguards.
Read update →SEC Charges Meyer Global Management and Its CEO With Defrauding Retail Investors in Private Funds That Held Interests in SpaceX and Other Pre-IPO Securities
The Securities and Exchange Commission charged private fund adviser Meyer Global Management LLC (MGM) and its CEO, Owen E.H. Meyer, with defrauding investors and MGM-managed funds in connection with investments in SpaceX and other pre-IPO securities.
Read update →Agency Information Collection Activities; Proposed Collection; Comment Request; Community Development Financial Institutions Program-Certification Application
The Department of the Treasury, as part of its continuing effort to reduce paperwork and respondent burden, invites the general public and other Federal agencies to comment on proposed and/or continuing information collections, as required by the Paperwork Reduction Act of 1995. Currently, the Community Development Financial Institutions Fund (CDFI Fund), Department of the Treasury, is soliciting comments concerning the Community Development Financial Institutions Program--Certification Application, which Applicants will submit through the CDFI Fund's Awards Management Information System (AMIS).
Read update →Notice of Information Collection and Request for Public Comment
The U.S. Department of the Treasury, as part of its continuing effort to reduce paperwork and respondent burden, invites the general public and other Federal agencies to take this opportunity to comment on proposed information collections, as required by the Paperwork Reduction Act of 1995, Public Law 104-13 (44 U.S.C. 3506(c)(2)(A)). Currently, the Community Development Financial Institutions Fund (CDFI Fund), the Department of the Treasury, is soliciting comments concerning the Uses of Awards Report Form. The Uses of Award Report Form is an online form submitted through the CDFI Fund's Awards Management Information System (AMIS).
Read update →SEC Censures OTC Link LLC for Repeated Compliance Failures Related to Regulation SCI
The Securities and Exchange Commission censured New York-based broker dealer OTC Link LLC and ordered it to pay a $575,000 civil penalty for longstanding violations of Regulation Systems Compliance and Integrity (SCI).
Read update →SEC Charges South Florida Resident and His Company for Alleged Investment Scheme Defrauding Law Enforcement
The Securities and Exchange Commission charged CMI Capital LLC and its founder and manager, Michael D. Williams, for an alleged fraudulent investment scheme that raised approximately $860,000 from at least 18 investors, many of whom are current or retired law enforcement officers in South Florida.
Read update →SEC Publishes Updated Market Statistics, Highlighting Increase in IPOs and Proceeds Raised
The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) published updated statistics and data visualizations covering key segments of the U.S. capital markets, including a notable increase in the number of initial public offerings (IPOs) and follow-on registered offerings.
Read update →SEC Grants Exemptive Relief from Certain Inline XBRL Filing or Submission Requirements
The Securities and Exchange Commission issued an order granting exemptive relief from certain Inline XBRL requirements adopted on Dec. 16, 2024. More specifically, the Commission is granting exemptive relief from filing or submitting the following in Inline XBRL: Form CA-1 (except Exhibit H thereto), Form 1 (except Exhibit I thereto), Form X-17A-5 Part III, Form 17‑H, and the annual compliance report of a security-based swap dealer or major security-based swap participant. These forms and submissions are specific to market intermediaries and are primarily used by the Commission to assess whether registered entities meet relevant standards – including legal, financial, and operational standards – necessary to comply with the Exchange Act.
Read update →SEC Proposes Rescission of Shareholder Proposal Rule and Reforms to Proxy Solicitation Process
The Securities and Exchange Commission proposed to rescind Rule 14a-8 under the Securities Exchange Act of 1934, which exceeds the scope of the Commission's statutory authority and intrudes into matters of state law.
Read update →SEC Charges Founder and His Two New Jersey-Based Companies in Alleged $16 Million Ponzi Scheme
The Securities and Exchange Commission charged Ernest Ossei Boateng and two New Jersey-based companies he controls, Intercontinental Wealth Network LLC and I Wealth Network LP, for allegedly raising approximately $16 million from more than 200 inexperienced investors through a Ponzi scheme he operated from at least January 2020 until at least March 2026.
Read update →Allocation and Apportionment of Deductions to Foreign Source Section 951A Category Income and Deduction Eligible Income
This document contains proposed regulations related to the allocation and apportionment of deductions to foreign source section 951A category income for foreign tax credit limitation purposes and for purposes of calculating deduction eligible income. The proposed regulations would affect taxpayers that operate in foreign countries through foreign corporations and domestic corporations that claim the deduction for foreign-derived deduction eligible income.
Read update →SEC Investor Advisory Committee to Host Sept. 10 Meeting
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 Regulation National Market System rules.
Read update →SEC Proposes Rescission of Political Contribution Rule for Investment Advisers
The Securities and Exchange Commission issued a proposal to rescind its “pay-to-play” rule that prohibits investment advisers from providing compensated investment advisory services to a government client for two years after making a political contribution to certain elected officials or candidates, and related recordkeeping requirements. All other requirements of the Advisers Act and its associated rules, including prohibitions on fraud, fiduciary duty requirements, the compliance rule, and the code of ethics rule, would continue to apply.
Read update →SEC Proposes to Modernize Rules for Registered Transfer Agents
The Securities and Exchange Commission proposed to update the rules and forms that apply to registered transfer agents.
Read update →SEC Charges San Francisco Bay Area Private Fund Executives with Multimillion Dollar Ponzi-Like Scheme
The Securities and Exchange Commission charged Mark D. Hanf, the former CEO of Novato, California-based Pacific Private Money Group LLC (PPMG), and Hoai-Nam Chu Phan, the former COO of a PPMG subsidiary, with orchestrating an offering fraud that raised more than $80 million from approximately 190 mostly retail investors, many of whom were retired senior citizens.
Read update →Polyethylene Terephthalate Resin From the Sultanate of Oman: Amended Final Results of Antidumping Duty Administrative Review; 2023-2024
The U.S. Department of Commerce (Commerce) is amending the final results of the administrative review of the antidumping duty (AD) order on polyethylene terephthalate resin (PET resin) from the Sultanate of Oman (Oman) to correct a ministerial error. The period of review (POR) is May 1, 2023, through April 30, 2024. The review covers one producer and exporter of subject merchandise, OCTAL SAOC FZC (OCTAL).
Read update →Certain Steel Grating From the People's Republic of China: Final Results of the Expedited Third Sunset Review of the Antidumping Duty Order
The U.S. Department of Commerce (Commerce) finds that revocation of the antidumping duty (AD) order on certain steel grating (steel grating) from the People's Republic of China (China) would be likely to lead to continuation or recurrence of dumping, at the levels indicated in the ‘Final Results of Sunset Review’ section of this notice.
Read update →Welded Line Pipe From the Republic of Türkiye: Final Results of the Expedited Second Sunset Review of the Countervailing Duty Order
The U.S. Department of Commerce (Commerce) finds that revocation of the countervailing duty (CVD) order on welded line pipe from the Republic of Türkiye (Türkiye) would be likely to lead to continuation or recurrence of countervailable subsidies at the levels indicated in the ‘Final Results of Sunset Review’ section of this notice.
Read update →Deregistration Under Section 8(f) of the Investment Company Act of 1940
Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. The applicant has transferred its assets to First Trust Active Global Quality Income ETF, a series of First Trust Exchange-Traded Fund VIII, and on November 11, 2023 made a final distribution to its shareholders based on net asset value. Expenses of $509,897.68 incurred in connection with the reorganization were paid by the applicant. Filing Date: The application was filed on July 29, 2026. Applicant's Address: 120 East Liberty Drive, Suite 400, Wheaton, Illinois 60187.
Read update →Increase of Monetary Thresholds and Other Matters Related to Cost Accounting Standards Program Requirements
The Office of Management and Budget (OMB), Cost Accounting Standards Board (Board), is publishing a final rule to increase the Cost Accounting Standards (CAS) thresholds and agency waiver authority, and issue clarifications on application of the CAS thresholds and exemptions to indefinite delivery contracts (IDCs).
Read update →Section 898(c) Transition Rule for Allocating Foreign Taxes and Section 960(d)(4) Foreign Tax Credit Disallowance; Correction
This document contains corrections to the proposed regulations (REG-115145-25), published in the Federal Register on August 3, 2026. These proposed regulations relate to allocating foreign taxes of foreign corporations affected by the repeal of the one-month deferral election and to the disallowance of foreign tax credits on certain distributions of previously taxed earnings and profits.
Read update →SEC: 38 Entities Feigned Legitimacy as U.S. Advisers Through False Filings to Lure Retail Investors
The Securities and Exchange Commission charged 38 entities alleging that they made material misrepresentations in Forms ADV filed with the Commission between 2025 and 2026 to falsely portray themselves as legitimate advisory firms to U.S. investors. The complaints also allege that the defendants, a number of whom used IP addresses that were tracked to foreign jurisdictions to connect to the Commission’s filing system, failed to respond to requests by Commission counsel to provide records to substantiate information on their Forms ADV.
Read update →SEC Proposes Amendments to Exchange Act Rule 3a12-8 to Add European Union Debt Obligations
The Securities and Exchange Commission proposed amendments to Rule 3a12-8 under the Securities Exchange Act of 1934 to add the debt obligations of the European Union (EU) to the list of foreign government debt obligations designated as ‘exempted securities’ solely for the purposes of futures marketing and trading.
Read update →Vessel and Shipyard Financing, Regulatory Revision
This interim final rule revises MARAD regulations implementing the Vessel and Shipyard Financing Program (Title XI Program or the Program) financial and programmatic requirements. Specifically, MARAD implements statutory changes, updates the vessel project and shipyard project financing requirements imposed on Title XI Program borrowers, aligns the Title XI Program with modern Federal credit best practices, corrects numerous legal citations, improves accessibility by modernizing text, and removes obsolete references. This rule also streamlines the MARAD Title XI regulations by removing 14 of 34 sections of the existing regulations.
Read update →Certain Secondary Cylindrical Batteries, Components Thereof, and Products Containing the Same; Notice of Institution of Investigation
Notice is hereby given that a complaint was filed with the U.S. International Trade Commission on July 21, 2026, under section 337 of the Tariff Act of 1930, as amended, on behalf of LG Energy Solution Ltd. of Korea and LG Energy Solution Arizona, Inc. of Queen Creek, Arizona. A supplement was filed on August 5, 2026. The complaint, as supplemented, alleges violations of section 337 based upon the importation into the United States, the sale for importation, and the sale within the United States after importation of certain secondary cylindrical batteries, components thereof, and products containing the same by reason of the infringement of certain claims of U.S. Patent No. 8,420,257 (‘the '257 patent’); U.S. Patent No, 11,749,866 (‘the '866 patent’); U.S. Patent No. 12,412,924 (‘the '924 patent’); U.S. Patent No. 12,412,965 (‘the '965 patent’); and U.S. Patent No. 12,646,735 (‘the '735 patent’). The complaint, as supplemented, further alleges that an industry in the United States is in the process of being established as required by the applicable Federal Statute. The complainants request that the Commission institute an investigation and, after the investigation, issue a limited exclusion order and cease and desist orders.
Read update →SEC Proposes New Regulation Crypto Assets
The Securities and Exchange Commission announced that it proposed new rules, titled “Regulation Crypto Assets,” that would create a clear and fit-for-purpose framework for certain investment contracts involving crypto assets. This proposal follows the Commission’s March 2026 interpretation clarifying how the federal securities laws apply to certain crypto assets and transactions involving crypto assets.
Read update →SEC Charges Former Executives With Fraud in Connection With $1.9 Billion Collapse of Subprime Auto Lender Tricolor
The Securities and Exchange Commission charged Daniel Chu, Jerome Kollar, and Ameryn Seibold, the former CEO, CFO, and Senior Director of Finance, respectively, at Texas-based Tricolor Holdings, LLC, for their roles in an alleged multi-year scheme to defraud investors by double pledging hundreds of millions of dollars of subprime auto loans to multiple asset-backed securities (ABS) offerings and lenders.
Read update →Agency Information Collection Activities; Submission to the Office of Management and Budget for Review and Approval; Comment Request; EIB 10-04, Notice of Claim and Proof of Loss, Working Capital Guarantee
The Export-Import Bank of the United States (Ex-Im Bank), as part of its continuing effort to reduce paperwork and respondent burden, invites the general public and other Federal Agencies to comment on the proposed information collection, as required by the Paperwork Reduction Act of 1995.
Read update →Aluminum Extrusions From the People's Republic of China: Final Results of Antidumping Duty Administrative Review; 2024-2025
The U.S. Department of Commerce (Commerce) determines that the 18 companies under review of the antidumping duty (AD) order on aluminum extrusions from the People's Republic of China (China), covering the period of review (POR) May 1, 2024, through April 30, 2025, are not eligible to receive a separate rate and are, therefore, part of the China-wide entity.
Read update →SEC Charges Toms River Trio in Connection with Alleged $47 Million Fraud Targeting Orthodox Jewish Communities
The Securities and Exchange Commission charged three Toms River, New Jersey residents for their roles in an affinity investment fraud that raised approximately $47 million from more than 87 investors, who were primarily members of Orthodox Jewish communities in New Jersey and New York.
Read update →SEC Charges Boiler Room Operator and Three Entities with Defrauding Retail Investors in $74 Million Pre-IPO Investment Scam
The Securities and Exchange Commission charged New York resident Andrew Spaventa and three entities he owned and controlled with fraud and other violations in connection with unregistered securities offerings of private funds that purportedly provided retail investors an opportunity to invest in shares of “pre-IPO” private companies while charging hidden fees.
Read update →SEC Charges Private Fund Adviser Adit Ventures Management, Its CEO and Affiliated General Partners in Alleged Fraud
The Securities and Exchange Commission charged New York-based investment adviser Adit Ventures Management LLC, its CEO Eric Munson, and three affiliated general partners, Adit Ventures LLC; Adit Ventures II LLC; and Adit Ventures III LLC (the General Partners), for allegedly defrauding investors and client funds in connection with investments in pre-IPO shares, such as SpaceX and Klarna, including by misappropriating advisory client assets and charging millions in undisclosed fees.
Read update →Agency Information Collection Activities; Comment Request on U.S. Business Income Tax Returns and Related Forms, Schedules, Attachments, and Published Guidance
In accordance with the Paperwork Reduction Act of 1995, the IRS is inviting comments on the information collection request outlined in this notice.
Read update →Backup Withholding on Third Party Network Transactions
This document contains final regulations governing backup withholding on reportable payments with respect to third party network transactions. The final regulations reflect recent changes to the statutory law that affect the backup withholding requirements for third party settlement organizations who make payments in settlement of third party network transactions.
Read update →Allocation of Assets in Single-Employer Plans; Interest Assumptions for Valuing Benefits
This final rule amends the Pension Benefit Guaranty Corporation's regulation on Allocation of Assets in Single-Employer Plans to prescribe the spreads component of the interest assumption under the asset allocation regulation for plans with valuation dates of July 31, 2026-October 30, 2026. These interest assumptions are used for valuing benefits under terminating single-employer plans and for other purposes.
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