Regulation
Polymarket’s PM Derivatives Wins NFA Approval as US Broker
Polymarket announced on November 3, 2026 that PM Derivatives had received National Futures Association approval to operate as a futures commission merchant, or FCM, on a fully collateralized basis. The registration adds a regulated broker to the group’s US prediction-market…
FDA Clears Cepheid’s Multiplex Viral Hemorrhagic Fever Panel
Cepheid, a Danaher operating company, announced on November 3, 2026 that the U.S. Food and Drug Administration had cleared its Xpert Hemorrhagic Fever Panel, a multiplex PCR test designed to deliver results in approximately 61 minutes on GeneXpert Dx systems.…
Cboe Seeks Injunction Against CFTC Approval of Equity Perpetuals
Cboe Global Markets announced on November 3, 2026 that it had joined a Capital Markets Alliance legal action challenging the Commodity Futures Trading Commission’s approval of perpetual derivatives on U.S. stocks and exchange-traded funds. The action includes a request for…
Florida Regulators Approve Duke Energy’s 2027 Rate Reduction
Duke Energy Florida announced on November 3, 2026 that the Florida Public Service Commission had approved its request to lower customer rates in 2027. For a typical residential customer using 1,000 kilowatt-hours per month, the December 2026-to-January 2027 decrease will…
MIAX Files to List Binary Options on Indexes and Company KPIs
Miami International Holdings announced on November 3, 2026 that MIAX Options had submitted two proposed rule changes to the U.S. Securities and Exchange Commission that would permit cash-settled binary options on broad-based indexes and public-company key performance indicators on one…
CFTC Chairman Says Equity Perpetual Futures Can Begin US Trading
CFTC Chairman Michael S. Selig announced on November 3, 2026 that perpetual futures contracts on individual equity securities can begin trading for the first time on designated contract markets that are also notice-registered with the Securities and Exchange Commission as…
FCA Finalises First UK Regulatory Regime for ESG Rating Providers
The UK Financial Conduct Authority published final rules on November 3, 2026 that bring environmental, social and governance rating providers into UK regulation for the first time. In-scope firms will need FCA authorisation and the relevant permission from June 29,…
PRA and FCA Examine Capital and Exit Rules for UK Credit Unions
The Prudential Regulation Authority and Financial Conduct Authority announced a joint review of UK credit union regulation on November 3, 2026, examining changes to capital requirements and compliance burdens across a sector with around 340 firms, more than two million…
FCA Sets Terms for Early Car Finance Compensation Offers
The UK Financial Conduct Authority (FCA) set minimum expectations on November 3, 2026 for lenders making voluntary car finance settlement offers, including that compensation be no less than the maximum redress available to each customer under its partially suspended scheme.…
Spire Missouri Files Rate Case Proposing Residential Bill Increases
Spire Missouri announced on November 2, 2026 that it had filed a rate case with the Missouri Public Service Commission to support continued investment in the safety, reliability and service of its natural gas system. If approved as filed and…
On-Chain Compliance: Allow Lists, Transfers, and Freezes
A first-principles guide to On-Chain Compliance Controls, including its operating chain, economics, authoritative records, failure modes, and the evidence investors or operators should verify.
SEC Exempts Certain Repo Transactions From Treasury Clearing Rule
The U.S. Securities and Exchange Commission on October 30, 2026 granted exemptive relief from its U.S. Treasury clearing rules for certain repurchase agreement transactions involving non-U.S. counterparties and for certain repo transactions between direct participants of Treasury clearing agencies and…
UK CMA Opens Competition Probe Into Meta’s Terms for Businesses
The Competition and Markets Authority opened an investigation on 30 October 2026 into whether Meta’s commercial terms for businesses using its platforms and services breach competition law, the regulator announced in a press release. The CMA said the investigation, conducted…
SEC Charges BG Wealth and DSJ Exchange in $130 Million Crypto Fraud
The Securities and Exchange Commission on Oct. 29, 2026, charged BG Wealth Sharing Ltd and DSJ Exchange Pty Ltd, two foreign-operated, Colorado-incorporated entities, with orchestrating a fraud scheme that used false SEC filings to boost confidence in their investment program…
Utah Prosecutors Charge KalshiEX, Mansour, Lopes Lara In 14-Count Case
The Utah Attorney General’s Office filed a 14-count criminal Information against prediction-market operator KalshiEX LLC and its co-founders, Chief Executive Officer Tarek Mansour and Chief Operating Officer Luana Lopes Lara, on October 28, 2026. The charges, built on 12 sports…
