Americas Reg Desk

Monday, 2026-10-05 · covering the last 72h

United States

SEC publishes new professional-credential pathways to accredited investor status. Five SEC notices (Releases 33-11445 through 33-11449), first issued 30 September 2026, were published in the Federal Register on 5 October 2026, proposing to designate a new FINRA-administered exam, the CPA license, the CFP certification, and the Series 79 and Series 86/87 licenses as qualifying credentials for natural-person accredited-investor status under Rule 501(a)(10), alongside the existing wealth-based tests. Federal Register publication starts a 60-day comment clock. SEC Release No. 33-11445

Cboe's Rule 8.23 anti-disruptive-trading filing (SR-CBOE-2026-008) remains pending past its extended 30 September deadline, with no SEC approval or disapproval order issued yet. No other material new SEC rule proposals or adoptions, FINRA notices, or NYSE/Nasdaq/Cboe rule filings bearing on institutional trading in the window. No new CFTC rulemaking bearing on equity markets, and no new Federal Reserve Board rulemaking, proposed or final, or supervisory guidance reaching market participants.

Canada

No material new CSA/OSC, CIRO or TMX rulemaking, and no new Bank of Canada FMI-oversight or settlement-system rulemaking, in the window.

Latin America

No material new items from Brazil's CVM/B3/BCB, Mexico's CNBV/BIVA-BMV/Banxico, Chile's CMF/BCCh or Argentina's CNV/BCRA in the window.

Informational only — summaries of public regulatory and central bank sources; not advice.