Americas Reg Desk
Wednesday, 2026-10-14 · covering the last 24h
United States
No material SEC, FINRA, CFTC, SRO (NYSE/Nasdaq/Cboe) or Federal Reserve rulemaking items surfaced for 13–14 October. Direct fetch of federalregister.gov, sec.gov, finra.org and federalreserve.gov failed in this run (DNS-level block, not a quiet-day signal), so checks relied on dated targeted search across each authority; none returned a dated October 13–14 item.
Still open, no new movement: the SEC's Rule 17a-7 cross-trading proposal and the Rule 501(a)(10) accredited-investor credential notices remain in their comment periods; Cboe's SR-CBOE-2026-008 anti-disruptive-trading filing remains suspended with no SEC order; FINRA's most recent numbered item is still Regulatory Notice 26-15 (closed 25 Sept); FICC's SR-FICC-2026-009 (27 July) is still the latest numbered DTCC/FICC filing found, and SR-FICC-2026-007 (Treasury-clearing mandate) remains under instituted SEC proceedings following its September 10 partial amendment; the CFTC's "Conflicts and Affiliations" proposal on affiliated-entity conflicts (30 July) remains the latest CFTC market-structure item, with its comment window likely closing around early October. No disposition of any of these was found as of this edition.
Canada
No material items. 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 the open items, with no update found. No new TSX/OSC rule notice or Bank of Canada financial-market-infrastructure release was found dated in this window; OSC Bulletin and CIRO publications remained unreadable directly, so checks relied on search.
Latin America
No material items confirmed for 13–14 October. B3, CVM (Portuguese newsroom), BCB, CNV Argentina, BCRA, Banxico and CMF Chile were all checked via dated search (direct fetch of gov.br/cvm, b3.com.br and bcb.gov.br failed in this run); nothing surfaced with an October 13–14 date. Latest confirmed items remain those already on record: CVM Resolução 247 (5 Oct, credit-information-system access rules under CVM/BCB cooperation) post-dates the prior edition's list but pre-dates this window; B3 Ofício Circular 039-2026-VNC (25 June); Resolução BCB 597 (30 Sept); Comunicación A BCRA no. 8486 (1 Oct, administrative); CNV Argentina's most recent confirmed numbered resolutions run through RG 1164/2026 (4 Sept, credit-rating-agency regime); Banxico — no new October circular found; CMF Chile NCG 574 (24 Aug) remains latest.
Informational only — summaries of public regulatory and central bank sources; not advice.