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Remarks For Investor Advisory Committee Meeting, SEC Commissioner Mark T. Uyeda, Washington D.C., March 12, 2026

Date 12/03/2026

Good morning. Nearly four years ago, I returned to the SEC as a Commissioner. That timeframe roughly corresponds to when a particular cohort of individuals were named to the SEC’s Investor Advisory Committee and began their terms. Today is the final Committee meeting for this cohort, who will complete their terms in the near future: Brian Schorr, Paul Roye, Colleen Honigsberg, James Andrus, Gina-Gail Fletcher, Christine Lazaro, Andrew Park, and Dr. David Rhoiney. Thank you for your service to the Committee and the investing public. I appreciate the significant time and effort that each of you have put into being a member of the Committee.

Remarks At The Investor Advisory Committee Meeting, Paul S. Atkins, SEC Chairman, Washington D.C., March 12, 2026

Date 12/03/2026

Good morning, ladies and gentlemen, and welcome to our first Investor Advisory Committee meeting of the year. Before I make some opening remarks, let me offer the customary disclaimer that the views I express here are my own as Chairman and not necessarily those of the SEC as an institution or of the other Commissioners. Of course, I should also like to acknowledge those of you for whom today marks your final IAC meeting. This Committee has an important mission to give considered input to the Commission. I am grateful for the service that you have given—and for the contributions that you have made.

MIAX Exchange Group - Option Exchanges - Application Message Rate Guidance For eQuotes, IOC And ISO Orders

Date 12/03/2026

Effective April 1, 2026, in the interest of protecting the performance profile of the MIAX trading systems and to provide actionable guidelines regarding acceptable application-level messaging activity, members are prohibited from exceeding prescribed message rates for MEI IOC and ISO eQuotes for MIAX Options and MIAX Emerald Options, and for MEO IOC and ISO orders for MIAX Pearl Options and MIAX Sapphire Options, when processed by the exchange applications.

Adam’s Lib: Remarks At The Meeting Of The SEC Investor Advisory Committee, SEC Commissioner Hester M. Peirce, Washington D.C., March 12, 2026

Date 12/03/2026

Thank you, Brian [Schorr]. And thank you to the Committee and panelists for graciously giving of your time today at this first Investor Advisory Committee meeting of 2026. I am sorry that it also is the last IAC meeting for James Andrus, Gina-Gail Fletcher, Colleen Honigsberg, Christine Lazaro, Andrew Park, Dr. David Rhoiney, Paul Roye, and Brian Schorr. Thank you for devoting your time, expertise, energy, and service to help improve our capital markets for the benefit of American investors.

Report From FINRA Board Of Governors Meeting – March 2026 - Board Approved Five Rule Proposals In Line With FINRA Forward Rule Modernization Initiative

Date 12/03/2026

FINRA’s Board of Governors held its first meeting this year on March 4-5. The Board approved five rule proposals, received an update on enhancements to FINRA's enforcement program and approved the allocation of last year’s fine monies.

Canadian Investment Regulatory Organization Publishes New Guidance For Order Execution Only Dealers

Date 12/03/2026

The Canadian Investment Regulatory Organization (CIRO) has published new guidance that will allow Order Execution Only (OEO) dealers to expand the range of decision-making supports they can offer to clients. The new guidance gives dealers the flexibility to innovate and better serve clients’ needs and empowers do-it-yourself (DIY) investors to make independent, well-informed investment decisions, while ensuring the necessary safeguards are in place to maintain and enhance investor protection.

EACH’s Women In Clearing Series – Getting Inspired By Erica Brown, Head Of International Affairs, Nasdaq Clearing

Date 12/03/2026

Following the successful launch of the Women in Clearing Network, in March 2024 the EACH’s Women in Clearing Series was inaugurated. This is an initiative with the objective of featuring a key female leader on a regular basis to inspire other professionals in the industry.

FSB Kicks Off New Implementation Phase To Enhance Cross-Border Payments Through Public-Private Partnership

Date 12/03/2026

• At the FSB Cross-border Payments summit, FSB Chair Andrew Bailey renews commitment to the goals of the G20 Roadmap for Enhancing Cross-border Payments, urging intensified action from authorities and the industry.
• The FSB will ask its members to develop action plans, identifying practical steps and priorities for enhancing payment systems within their jurisdictions and at broader regional level.
• The Institute of International Finance and Swift also outlined initiatives aimed at supporting progress towards the Roadmap’s goals.

ESMA Sets Out Actions To Simplify The Retail Investor Journey And Make Investing More Accessible

Date 12/03/2026

The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has published its takeaways from the 2025 Call for Evidence (CfE) on the retail investor journey.

Capital Rules For The Real Economy, Federal Reserve Vice Chair For Supervision Michelle W. Bowman, At The Cato Institute Policy Forum: Basel III And Bank Capital Rules, Washington, D.C.

Date 12/03/2026

Good morning. It's good to be here with you at the Cato Institute to discuss our approach to bank capital requirements. Capital requirements form the foundation of our prudential regulatory framework, and in the coming weeks we will propose rules to implement the final phase of Basel III in the United States. These changes to the capital framework eliminate overlapping requirements, right-size calibrations to match actual risk, and comprehensively address long-standing gaps in our prudential framework. The result is more efficient regulation and banks that are better positioned to support economic growth, while preserving safety and soundness.