Regulatory AlertsLicensing regulation in United States
Authorization, registration and licensing frameworks for banks, fintechs and financial-service providers. 6 publications, summarized in English and updated same-day.
2025-12-04
Notice of Proposed Rule: Chapter 146 (Regulation 46) Advisory Rulings
United States
OFR
2023-07-26
Exemption for Certain Investment Advisers Operating Through the Internet
United States
SEC
2022-10-26
Outsourcing by Investment Advisers
United States
SEC
2022-07-29
Exemption for Certain Exchange Members
United States
SEC
2022-04-06
Rules Relating to Security-Based Swap Execution and Registration and Regulation of Security-Based Swap Execution Facilities
United States
SEC
2022-03-28
Further Definition of 'As a Part of a Regular Business' in the Definitions of Dealer and Government Securities Dealer
United States
SEC