政策库
国内监管政策与征求意见优先，海外规则补充。 按来源优先级、最新收录顺序排列。
找到 461 条资料。类型按标题识别，不代表法规效力；实施和反馈日期仅摘取摘要明示的完整日期，请通过原文核对适用范围与最新状态。
- 监管动态美联储讲话发布：2026-10-02
美联储监管副主席 Bowman 谈 eSLR 现代化改革的初步观察
美联储监管副主席 Bowman 在讲话中介绍了 eSLR 调整的初步效果，称 2026 年第一季度六家交易商母公司合计获得近 5 万亿美元额外 eSLR 空间。
- 监管动态美国证监会新闻发布：2026-10-01
SEC Charges Meyer Global Management and Its CEO With Defrauding Retail Investors in Private Funds That Held Interests in SpaceX and Other Pre-IPO Securities
The Securities and Exchange Commission today charged private fund adviser Meyer Global Management LLC (MGM) and its CEO,
- 监管动态美国证监会新闻发布：2026-10-01
SEC Charges Two Individuals With Orchestrating Fraud Scheme That Targeted Veterans
The Securities and Exchange Commission today announced charges against Christopher Kenji Dinelli and Jacob David “Kobe”
- 监管动态美国证监会新闻发布：2026-09-30
SEC Proposes Amendments to Expand Responsible Retailization of Private Markets
The Securities and Exchange Commission today voted to propose rule amendments that would facilitate capital formation in
- 监管动态美国证监会新闻发布：2026-09-29
SEC Charges Multiple Entities in Fraud Schemes Totaling at Least $15 Million That Used WhatsApp and Other Platforms to Lure Investors
The Securities and Exchange Commission today charged multiple entities that are likely operated by individuals located o
- 监管动态美国证监会新闻发布：2026-09-29
SEC Charges Registered Investment Adviser Zoe Financial for Failure to Disclose Conflict of Interest
The Securities and Exchange Commission today announced settled charges against New York-based investment adviser Zoe Fin
- 监管动态美联储新闻发布：2026-09-26
Federal Reserve Board announces approval of application by Peoples Bancorp Inc.
Federal Reserve Board announces approval of application by Peoples Bancorp Inc.
- 监管动态美联储新闻发布：2026-09-24
Federal Reserve Board issues enforcement action with former employee of Sandy Spring Bank
Federal Reserve Board issues enforcement action with former employee of Sandy Spring Bank
- 监管动态美国证监会新闻发布：2026-09-24
SEC Publishes Updated Market Statistics, Highlighting Increase in IPOs and Proceeds Raised
The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) published updated statistics and
- 监管动态美国证监会新闻发布：2026-09-24
SEC Charges South Florida Resident and His Company for Alleged Investment Scheme Defrauding Law Enforcement
The Securities and Exchange Commission today charged CMI Capital LLC and its founder and manager, Michael D. Williams, f
- 监管动态美联储新闻发布：2026-09-23
Federal Reserve Board announces approval of application by BancFirst Corporation
Federal Reserve Board announces approval of application by BancFirst Corporation
- 监管动态美国证监会新闻发布：2026-09-23
SEC Censures OTC Link LLC for Repeated Compliance Failures Related to Regulation SCI
The Securities and Exchange Commission today censured New York-based broker dealer OTC Link LLC and ordered it to pay a
- 监管动态美联储新闻发布：2026-09-18
Federal Reserve Board issues enforcement actions with former employee of Northstar Bank, former employee of American Express Travel Related Services Company, Inc., and former employee of Regions Bank
Federal Reserve Board issues enforcement actions with former employee of Northstar Bank, former employee of American Exp
- 监管动态美联储新闻发布：2026-09-18
Federal Reserve Board announces termination of enforcement action with SNB Bancshares and Bank of Eufaula
Federal Reserve Board announces termination of enforcement action with SNB Bancshares and Bank of Eufaula
- 监管动态美国证监会新闻发布：2026-09-17
SEC Issues “Innovation Exemption” to Facilitate the Trading of Tokenized NMS Stock and Request for Comment
The SEC is taking a significant step forward, within its statutory authority, to bring America’s capital markets into th
- 监管动态美国证监会新闻发布：2026-09-16
SEC Proposes Rescission of Shareholder Proposal Rule and Reforms to Proxy Solicitation Process
The Securities and Exchange Commission today proposed to rescind Rule 14a-8 under the Securities Exchange Act of 1934, w
- 监管动态美国证监会新闻发布：2026-09-15
SEC Grants Exemptive Relief from Certain Inline XBRL Filing or Submission Requirements
The Securities and Exchange Commission issued an order granting exemptive relief from certain Inline XBRL requirements a
- 监管动态美国证监会新闻发布：2026-09-11
Joint Readout of Principals’ Meeting of U.S. and UK Authorities Regarding Central Counterparty Resolution
Senior officials from the Securities and Exchange Commission, Federal Deposit Insurance Corporation, Commodity Futures T
- 监管动态美国证监会新闻发布：2026-09-11
SEC Charges Founder and His Two New Jersey-Based Companies in Alleged $16 Million Ponzi Scheme
The Securities and Exchange Commission today charged Ernest Ossei Boateng and two New Jersey-based companies he controls
- 监管动态美国证监会新闻发布：2026-09-07
President’s Year 2000 Council, SEC, NYSE, NASD, ICI, SIA Outline Securities Industry Efforts For Smooth Transition Into Year 2000
The President’s Council onYear 2000 Conversion, the Securities and Exchange Commission(SEC), the National Association of
- 监管动态美联储新闻发布：2026-09-04
Federal Reserve Board announces termination of enforcement actions with United Texas Bank, Quontic Bank Acquisition Corp., and Quontic Bank Holdings Corp.
Federal Reserve Board announces termination of enforcement actions with United Texas Bank, Quontic Bank Acquisition Corp
- 监管动态美国证监会新闻发布：2026-09-04
SEC Proposes Rescission of Political Contribution Rule for Investment Advisers
The Securities and Exchange Commission today issued a proposal to rescind its “pay-to-play” rule tha
- 监管动态美国证监会新闻发布：2026-09-03
SEC Investor Advisory Committee to Host Sept. 10 Meeting
The Securities and Exchange Commission’s Investor Advisory Committee will host a public meeting at the SEC Headquar
- 监管动态美国证监会新闻发布：2026-09-02
SEC Announces Agenda and Panelists for Roundtable on Preparations for 24-Hour Trading
The Securities and Exchange Commission today announced the agenda and panelists for its Sept. 17, 2026, roundtable on pr
- 监管动态美国证监会新闻发布：2026-09-02
SEC Charges San Francisco Bay Area Private Fund Executives with Multimillion Dollar Ponzi-Like Scheme
The Securities and Exchange Commission today charged Mark D. Hanf, the former CEO of Novato, California-based Pacific Pr
- 监管动态美国证监会新闻发布：2026-09-01
SEC Proposes to Modernize Rules for Registered Transfer Agents
The Securities and Exchange Commission today proposed to update the rules and forms that apply to registered transfer ag
- 监管动态美国证监会新闻发布：2026-09-01
SEC and FDA Announce MOU to Bolster Cooperation and Ensure Market Integrity
The Securities and Exchange Commission and the Food and Drug Administration today announced that they have entered
- 监管动态美国证监会新闻发布：2026-08-29
SEC Proposes Amendments to Exchange Act Rule 3a12-8 to Add European Union Debt Obligations
The Securities and Exchange Commission today proposed amendments to Rule 3a12-8 under the Securities Exchange Act of 193
- 监管动态美国证监会新闻发布：2026-08-28
SEC: 38 Entities Feigned Legitimacy as U.S. Advisers Through False Filings to Lure Retail Investors
The Securities and Exchange Commission today charged 38 entities alleging that they made material misrepresentations in
- 监管动态美联储新闻发布：2026-08-27
Federal Reserve Board issues enforcement action with former employee of Banco Popular de Puerto Rico
Federal Reserve Board issues enforcement action with former employee of Banco Popular de Puerto Rico
- 监管动态美联储货币政策发布：2026-08-26
美联储公布2026年7月20日和7月29日贴现率会议纪要
美联储理事会8月25日公布了7月20日和7月29日贴现率会议纪要，内容涉及通过贴现窗口向存款机构提供的贴现率。理事会制定贴现率的流程与联邦公开市场委员会设定联邦基金利率目标区间的流程不同。
- 监管动态美联储新闻发布：2026-08-21
Federal Reserve Board announces approval of application by National Westminster Bank Plc
Federal Reserve Board announces approval of application by National Westminster Bank Plc
- 监管动态美联储新闻发布：2026-08-20
Federal Reserve Board issues enforcement actions with former employee of Regions Bank and former employee of United Community Bank
Federal Reserve Board issues enforcement actions with former employee of Regions Bank and former employee of United Comm
- 监管动态美联储新闻发布：2026-08-20
Federal Reserve Board issues enforcement action with SouthPoint Bancshares, Inc. and announces termination of enforcement action with Deutsche Bank AG, DB USA Corporation, and Deutsche Bank AG New York Branch
Federal Reserve Board issues enforcement action with SouthPoint Bancshares, Inc. and announces termination of enforcemen
- 监管动态美国证监会新闻发布：2026-08-19
SEC Charges Former Executives With Fraud in Connection With $1.9 Billion Collapse of Subprime Auto Lender Tricolor
The Securities and Exchange Commission today charged Daniel Chu, Jerome Kollar, and Ameryn Seibold, the former CEO, CFO,
- 监管动态美国证监会新闻发布：2026-08-19
SEC Proposes New Regulation Crypto Assets
The Securities and Exchange Commission today announced that it proposed new rules, titled “Regulation Crypto Assets,” th
- 监管动态美国证监会新闻发布：2026-08-15
SEC Charges Boiler Room Operator and Three Entities with Defrauding Retail Investors in $74 Million Pre-IPO Investment Scam
The Securities and Exchange Commission today charged New York resident Andrew Spaventa and three entities he owned and c
- 监管动态美国证监会新闻发布：2026-08-14
SEC Charges Toms River Trio in Connection with Alleged $47 Million Fraud Targeting Orthodox Jewish Communities
The Securities and Exchange Commission today charged three Toms River, New Jersey residents for their roles in an affini
- 监管动态美联储新闻发布：2026-08-13
Federal Reserve Board issues enforcement action with former employee of Regions Bank
Federal Reserve Board issues enforcement action with former employee of Regions Bank
- 监管动态美国证监会新闻发布：2026-08-11
SEC Charges Private Fund Adviser Adit Ventures Management, Its CEO and Affiliated General Partners in Alleged Fraud
The Securities and Exchange Commission today charged New York-based investment adviser Adit Ventures Management LLC, its