Financial wire
Financial regulatory alerts
Enforcement actions, rules and guidance from the SEC, FINRA, OCC, FDIC, NYDFS, FinCEN and the FTC, monitored continuously, summarized and posted as source-linked alerts. Written for compliance, risk and legal teams at fintechs, broker-dealers, banks and payment companies.
195 on file · 19 urgent · 98 notice · 78 info · this week · RSS · JSON
Latest on file
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· OCC · announcement · noticeOCC releases October 2026 enforcement actions
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· OCC · guidance · infoOCC: Finalizes reporting forms for permitted payment stablecoin issuers
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· OCC · guidance · infoOCC issues guidance on GENIUS Act waivers and application submission
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· OCC · guidance · noticeOCC: Final rule on stablecoin issuance under GENIUS Act
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· OCC · announcement · noticeOCC finalizes rule to implement GENIUS Act on U.S. stablecoins
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· FINRA · rule-notice · noticeFINRA amends Rules 5110 and 5123 on underwriting and private placements
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· FinCEN · announcement · noticeFinCEN: Operation Economic Outcast targets Iran's shadow fleet networks
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· SEC · announcement · infoSEC and AMF sign MOU to enhance supervisory cooperation
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· SEC · announcement · infoSEC and Japan FSA hold Autumn Financial Regulatory Dialogue
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· FINRA · rule-notice · infoFINRA: Election notice for Regional Committee vacancies
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· FINRA · rule-notice · infoFINRA: Election notice for Small Firm Advisory Committee seats
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· SEC · announcement · infoSEC: Roundtable on machine-understandable data and Super Intelligence scheduled
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· FinCEN · announcement · noticeFinCEN: Treasury identifies $270 million in suspicious activity tied to student
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· NYDFS · enforcement · noticeNYDFS: Consent Order issued to Skandinaviska Enskilda Banken AB
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· FinCEN · announcement · noticeFinCEN: Operation Economic Outcast targets Iranian regime abuse of charity netw
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· OCC · announcement · infoOCC: Comptroller Gould discusses debanking report findings
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· OCC · announcement · infoOCC releases debanking report; Comptroller Gould discusses findings
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· SEC · announcement · infoSEC: Small Business Advisory Committee to meet on IPO modernization
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· OCC · announcement · infoOCC releases report on debanking activities at nine largest national banks
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· FINRA · rule-notice · noticeFINRA: Rule 1210.06 shortens exam retake waiting periods effective January 2027
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· OCC · announcement · urgentOCC: Bank of America assessed $750 million for BSA/AML violations
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· FinCEN · announcement · urgentFinCEN assesses $1.2 billion penalty against Bank of America
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· SEC · announcement · noticeSEC proposes expanding securities eligible for cross trading by registered funds
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· FINRA · rule-notice · noticeFINRA amends Rule 4515.01 on investment adviser order allocations
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· OCC · announcement · infoOCC: National banks in Alabama, Mississippi may close offices due to Hurricane
Roundups
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Sources we poll
RegPing Financial reads these 8 primary sources every thirty minutes. Nothing here is scraped from news sites or newsletters; every alert links to the regulator's own page.
- SEC US-FED · RSS · sec.gov
- FINRA US-FED · RSS · finra.org
- OCC US-FED · RSS · occ.treas.gov
- OCC US-FED · RSS · occ.treas.gov
- FDIC US-FED · RSS · public.govdelivery.com
- NYDFS US-NY · listing page · dfs.ny.gov
- FinCEN US-FED · listing page · fincen.gov
- FTC US-FED · RSS · ftc.gov
Guides
- How to track SEC enforcement actions in real time
- The seven US financial regulators every fintech compliance team should monitor
- What a Wells Notice Is and How the Response Process Works
- FINRA Rule 4530 Reporting: What Must Be Reported and When
- How to Read a FINRA Regulatory Notice: Numbering, Notice Types and Effective Dates
- The SEC Marketing Rule for Small RIAs: Testimonials, Performance Advertising and Common Deficiencies
- OCC Bulletins, FDIC FILs and Fed SR Letters: What Each Is and Who Must Act
- NYDFS Part 500 Cybersecurity Checklist for Smaller Covered Entities
Questions people ask
What does RegPing Financial actually watch?
Enforcement actions, rules and guidance from the SEC, FINRA, OCC, FDIC, NYDFS, FinCEN and the FTC, monitored continuously, summarized and posted as source-linked alerts. Sources are polled every thirty minutes; each new notice is summarized and posted with a link to the original.
Is there a free tier?
Yes. Any server that runs /subscribe gets a free weekly digest of the week's alerts in its channel, and /preview works any time. The paid subscription delivers every alert as it publishes, every thirty minutes, with /filter targeting.
What does RegPing Financial cost?
$19.99 per server per month, billed by Discord through its app subscriptions. One subscription covers everyone in the server. Cancel from Discord at any time.
Can I narrow what my server receives?
Yes. /filter narrows by agencies and by a minimum severity (info, notice, urgent).
Is this legal advice?
No. RegPing is an information service. It republishes and summarizes public notices on a quote-and-link basis. Read the regulator's original notice and talk to counsel before acting.