Rule changes and consultations
New and amended rules, consultations and guidance that can affect brokers and traders.
39 notices · Latest notice: 6 Nov 2026
- CFTC Issues Impartial Access Requirements Interpretation
- SEC Adopts Amendments to Update Definitions of Small Entity for Investment Companies and Investment Advisers
The Securities and Exchange Commission today adopted amendments to the rules that define which registered investment companies, investment advisers, and business development companies qualify as small entities for…
- New FCA rules bring ESG rating providers into UK regulation for the first time
New UK rules for environmental, social and governance (ESG) rating providers will raise standards in the market, helping investors to make better informed decisions. The new framework brings ESG rating providers into…
- SEC Issues Exemptive Relief from Treasury Clearing Requirements for Certain Inter-Affiliate and Non-U.S. Repo Transactions
The Securities and Exchange Commission took another step forward today to assist broker-dealers and other market participants on the path to central clearing of U.S. Treasury securities by issuing exemptive relief…
- ASIC consults on financial resources requirements for market operators
ASIC is consulting on proposals for clearer guidance on financial resources requirements for licensed market operators in Australia.
- ESMA proposes simpler EU Taxonomy reporting
ESMA proposes simpler EU Taxonomy reporting 29 October 2026 Issuer disclosure Sustainable finance The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has…
- ESMA streamlines several Q&As as part of simplification efforts
ESMA streamlines several Q&As as part of simplification efforts 22 October 2026 Market Abuse MiFID - Secondary Markets Short Selling Simplification and Burden Reduction The European Securities and Markets Authority…
- ESMA specifies requirements to facilitate safe use of post-trade risk reduction services
ESMA specifies requirements to facilitate safe use of post-trade risk reduction services 20 October 2026 Guidelines and Technical standards Post Trading The European Securities and Markets Authority (ESMA), the EU’s…
- New Q&As available
New Q&As available 16 October 2026 CCP Digital Finance and Innovation The European Securities and Markets Authority (ESMA), the EU's securities markets regulator, has published the following question and answer:…
- ESMA finalises the review of guidelines on the delay in disclosure of inside information
ESMA finalises the review of guidelines on the delay in disclosure of inside information 16 October 2026 Guidelines and Technical standards Market Abuse Market Integrity Simplification and Burden Reduction The…
- One year to go for T+1 settlement: the regulatory framework is complete, now let’s make it happen
One year to go for T+1 settlement: the regulatory framework is complete, now let’s make it happen 16 October 2026 Guidelines and Technical standards Post Trading Press Releases The European Union (EU) will switch to…
- ESMA updates its manual on transparency with new guidance for OTC derivatives and tick-size regime
ESMA updates its manual on transparency with new guidance for OTC derivatives and tick-size regime 15 October 2026 Trading The European Securities and Markets Authority (ESMA), the EU regulator and supervisor, has…
- ASIC consults on implementation of new digital asset laws
ASIC has today commenced consultation on guidance and standards to implement new laws for digital asset platforms and tokenised custody platforms commencing on 8 April 2027.
- 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…
- Global standard-setting bodies publish final report on guidance for FMIs on general business risk and general business losses
- Capital Market Authority Enhances Access to Capital Market Regulatory Frameworks
- CFTC Seeks Public Comment on Notice of Proposed Rulemaking Concerning the Inclusion of Certain Event Contracts in the Definition of Swap
- CFTC Issues Interim Final Rule Excluding Certain Activity from the Definition of Swap
- SEC Proposes Expanding Securities Eligible for Cross Trading by Registered Funds
The Securities and Exchange Commission today proposed amendments to the Investment Company Act “cross-trading rule,” which permits transactions in securities between a registered fund and its affiliates under certain…
- CFTC Seeks Public Comment on Advanced Notice of Proposed Rulemaking Relating to Regulation Crypto Asset Transactions and Regulation Crypto Asset Markets
- DFSA Issues Feedback Statement on Consultation Paper No. 174
- The DFSA made targeted amendments to credit rating agency and prudential reporting requirements
- SEC Proposal Would Address How Investment Advisers and Funds Can Custody Crypto Assets Under the Federal Securities Laws
The Securities and Exchange Commission today 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…
- Notice of Amendments to Legislation: October 2026
- SEC Proposes Amendments to Expand Responsible Retailization of Private Markets
The Securities and Exchange Commission today 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…
- SEC Proposes Rescission of Shareholder Proposal Rule and Reforms to Proxy Solicitation Process
The Securities and Exchange Commission today 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…
- 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…
- Global standard-setting bodies publish a toolkit for cyber resilience at Financial Market Infrastructures (FMIs) and a discussion paper on FMIs' reliance on third-party service providers
- IOSCO publishes Final Report on Valuing Collective Investment Schemes, strengthening global standards for fund valuation
- CPMI-IOSCO publishes for Consultation updated guidance and public disclosures to implement initial margin proposals
- The CMA Issues the Virtual Assets Framework, Establishing an Integrated Regulatory Regime Comprising Five Core Modules and Eight Regulated Activities
- IOSCO publishes Consultation Report on Good Practices concerning over-the-counter Commodities Derivatives Markets
- Strategic Alliance: SCA and Hong Kong SFC Launch Mutual Recognition Framework for Cross-Border Distribution of Public Investment Funds Between Hong Kong and UAE
In a groundbreaking move that reinforces the UAE’s position as a global financial hub, the Securities and Commodities Authority (SCA) and the Securities and Futures Commission of Hong Kong (SFC) announced the signing…
- A strategic breakthrough in financial influencer regulation reinforces the UAE as a global financial hub
The Securities and Commodities Authority (SCA) has announced a landmark breakthrough in digital finance regulation, marked by an extraordinary 1,100% surge in applications for “Financial Influencer” accreditation.…
- SCA Drives Digital Transformation by Regulating Financial Content and Strengthening Financial Influencer Compliance to Safeguard Investors
As part of its strategic efforts to regulate digital financial markets and enhance investor protection, the Securities and Commodities Authority (SCA) has called on all financial influencers (Finfluencers) operating…
- The Securities and Commodities Authority (SCA) Launches Region’s First “Finfluencer” License to Regulate Digital Financial Content
The SCA has officially launched the region’s first “Finfluencer” license - an innovative regulatory milestone aimed at formalizing and supervising digital financial content. This ground-breaking initiative seeks to…
- SCA Invites Feedback on Transformative Robo-Advisor Regulation
As part of its leading role in regulating and advancing the UAE’s capital markets—and in keeping with its established practice of seeking input from financial industry partners before finalizing new regulations—the…
- SCA Invites Feedback on Draft Regulations for Security Tokens and Commodity Tokens
As part of its leading role in regulating and advancing the UAE’s capital markets—and in keeping with its established practice of seeking input from financial industry partners before finalizing new regulations—the…
- GCC financial market authorities approve fund passporting framework, with implementation scheduled for early 2025
In a new move to enhance integration between the Gulf financial markets, the financial market authorities in the Gulf Cooperation Council (GCC) have adopted a regulatory framework for fund passporting. They also…
About these notices
Every item comes from the regulator’s own website or feed and is checked several times a day. Titles are shown as the regulator published them; Invvex does not add findings. A notice is not a full list — always check the regulator’s public register before dealing with a firm.
- Capital Market Authority (UAE, formerly SCA)
- Dubai Financial Services Authority (DIFC)
- Financial Services Regulatory Authority (ADGM)
- Virtual Assets Regulatory Authority (Dubai)
- Financial Conduct Authority (UK)
- Cyprus Securities and Exchange Commission
- Australian Securities and Investments Commission
- U.S. Securities and Exchange Commission
- U.S. Commodity Futures Trading Commission
- National Futures Association (U.S.)
- European Securities and Markets Authority
- International Organization of Securities Commissions