Americas Reg Desk

Friday, 2026-09-04 · covering the last 24h

United States

Nasdaq amends its disciplinary-proceeding rule to let staff issue summary notices. Nasdaq filed an immediately effective rule change (SR-NASDAQ-2026-072), published in the Federal Register on 4 September, amending Rule 9558 so Nasdaq Regulation Department staff — rather than a more senior designated officer — can issue the written notice that opens a summary disciplinary proceeding; comments are due by 25 September. Federal Register notice

No other material SEC, CFTC or FINRA items, and no new market-structure litigation, in the window; no update to the Cboe order-entry-protocol migration or NYSE Arca/American fee filings reported previously. No Federal Reserve rulemaking or supervisory guidance reaching market participants in the window.

Canada

No material items from CSA/OSC, CIRO or TMX in the window, and no new Bank of Canada FMI rulemaking.

Latin America

No material items from B3/CVM/BCB, BMV/BIVA/CNBV/Banxico, CMF/BCCh or CNV/BCRA in the window.

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