Americas Reg Desk
Tuesday, 2026-10-13 · covering the last 24h
United States
No material new SEC rulemaking, SRO rule filings (NYSE, Nasdaq, Cboe, DTCC/FICC/OCC), FINRA notices, or CFTC equity-adjacent action found dated to this window. Direct access to federalregister.gov, sec.gov and finra.org is blocked at the network/proxy level in this session (CONNECT rejected / DNS failure on all three domains, confirmed again today) — this is a failed check, not evidence of a quiet day, so coverage relied entirely on targeted dated web search. Checked: SEC press releases and rule-release listings (most recent numbered item findable is 2026-104 on Rule 17a-7, 9 October, already reported; no later release surfaced), FINRA's notices page (still Regulatory Notice 26-15, closed 25 September; no new numbered notice found), NYSE/Nasdaq/Cboe SRO rule-filing trackers (no SR-NYSE-2026-*, SR-NASDAQ-2026-* or SR-CBOE-2026-* filing dated 12–13 October found), DTCC/FICC filing index (latest is SR-FICC-2026-009, 27 July), CFTC market-structure items (latest is the affiliated-entities conflicts proposal, 30 July), and law-firm trackers (Paul Hastings' daily update, Harvard corpgov weekly roundup) for an October 12–13 entry — none found. Open items carried from prior editions, unchanged: the SEC's Rule 17a-7 cross-trading proposal (comment period open), the Rule 501(a)(10) accredited-investor credential proposal (comment period open), and Cboe's SR-CBOE-2026-008 anti-disruptive-trading filing (still suspended, no SEC order).
Canada
No material new items from CSA/OSC, CIRO, TSX, CDCC, or the Bank of Canada in this window. Checked CIRO's bulletin/notice archive, TSX's trading-notices and proposed-and-recent-changes pages, and the Bank of Canada's FMI-oversight releases (latest is the 2025 annual oversight report, published in 2026, no new release dated this window). CIRO's Incorporated Approved Person compensation-disclosure proposal (comments due 6 Nov) and its republished account-transfer/bulk-movement proposal (comments due 21 Oct) remain open, unchanged.
Latin America
No material new items from Brazil (CVM/B3/BCB), Mexico (CNBV/BIVA-BMV/Banxico), Chile (CMF/BCCh), or Argentina (CNV/BCRA) found dated to this window. Checked again by document type in Portuguese and Spanish: B3 "Comunicado Externo"/"Ofício Circular" (most recent found remains Ofício Circular 039-2026-VNC of 25 June on access-manual risk/financial requirements; no October circular surfaced, only a routine 8 October board-meeting minute), CVM "Edital"/"Resolução CVM" (numbering suggests resolutions in the 240s–245 range through mid-year; nothing dated to this window found), "Resolução BCB" (latest confirmed remains 597 of 30 September; Resolução BCB 575, effective 1 October, was published in June and is not a new rule this window), "Comunicación A" BCRA (latest remains no. 8486 of 1 October, administrative), CNV Argentina "Resolución General" (latest confirmed text remains RG 1145/2026 of June; later numbers 1154–1155 are referenced only in unconfirmed index listings, not independently verified), Banxico "Circular" (no new October circular found in the official normative index), and CMF Chile "Norma de Carácter General" (latest remains NCG 574 of 24 August).
Informational only — summaries of public regulatory and central bank sources; not advice.