Social Media Ideas for Regulatory Filing

A New Regulatory Framework for Transfer Agents: An Analysis of the SEC’s Modernization Proposal and Industry Implication...

SEBI vs RBI vs MCA: Who Regulates What and When Are Filings Due?

RBI owns foreign investment filings, SEBI owns disclosure, MCA owns governance. See where they overlap, which penalties hit hardest, and the FY 2025-26 compliance calendar.

Regulatory Update and Recent SEC Actions: October 2026

Colorado Changes Notice Filing Requirements for SEC-Registered Investment Advisers

The MGT-14 Form Compliance Mandate: Benchmarking Event-Based Corporate Filing for Indian Tech Firms (Nanne Parmar)

Industry Insight: In 2026, MCA has intensified event-based compliance monitoring, with recent ROC ad...

FDA and SEC Enter MOU to Establish Information Sharing Framework

Nasdaq Files Proposed Rule Change Regarding the $5 Million MVLS Continued Listing Requirement Amid SEC Stay

Analyzing Whether an HSR Filing Is Necessary: Lessons for Transacting Parties From Enforcement Actions

FCC Download: Monthly Updates - October 2026

Regulatory Change Management: Process & Best Practices

Learn how to build a clear regulatory change management process, from monitoring and assessing updates to assigning actions and verifying implementation.

SEBI proposes mandatory monitoring agency for all public issues, ₹50,000 fine for non-cooperation

The proposed changes also allow direct reporting to stock exchanges and introduce graded enforcement, including possible freezing of promoters’ demat accounts.

SEC Approves FINRA Rule 2210 Amendment Allowing Projected Performance and Targeted Returns

CFTC Proposes Federal Regulatory Framework for Leveraged Retail Crypto Trading

Earlier this week, the Commodity Futures Trading Commission (the “CFTC” or the “Commission”) issued an advance notice of proposed rulemaking (the “ANPRM”) describing its intent to...

FinReg Monthly Update for Septemberr 2026

FTC Bureau of Consumer Protection Creates New Mechanism for Industry Input on FTC Rules

SGS Demystifies CPSC eFiling

SGS publishes an article answering common questions on eFiling for the US CPSC Product Registry and providing guidance on improving data quality and certificate management.

FCA Consultation Paper 26/32: Quarterly consultation paper No. 53

On 4 September 2026, the Financial Conduct Authority published Consultation Paper 26/32: Quarterly consultation paper No. 53 (CP26/32). In CP26/32, the FCA proposes certain miscell...

FCA publishes webpage on moving fund authorisation applications and notifications online

On 6 October 2026, the Financial Conduct Authority (FCA) published a new webpage on moving fund authorisation applications and notifications online. Summary The FCA sets out that t...

Regulatory Scrutiny in ABA: What Providers Need to Know About Compliance Oversight

CFTC Proposes Federal Framework for Leveraged Retail Crypto Trading

Earlier this week, the CFTC issued an advance notice of proposed rulemaking (ANPRM) outlining a federal regulatory framework for retail crypto asset transactions involving margin,...

Compliance legal Register

FCC Download: Monthly Updates - September 2026

SEC and FDA Sign Memorandum of Understanding Formalizing Cross-Agency Information Sharing

Bitwise Updates XRP ETF Prospectus In New SEC Filing

TL;DR Bitwise filed a post-effective amendment updating disclosures for its XRP ETF trust. The September 21 filing registered zero new shares. The filing is a prospectus update, no...