Americas Reg Desk

Wednesday, 2026-11-04 · covering the last 24h

United States

NSCC adds a settlement-value check to ETF creation-order screening. DTCC subsidiary National Securities Clearing Corporation filed a rule change adding a settlement-value threshold alongside the existing NAV-based check used to flag ETF creation and exemption-order submissions for reasonability review — a clearing-risk control that tightens the screen applied to authorized-participant orders before they settle. Federal Register filing

No SEC press release, FINRA regulatory notice, CFTC rulemaking or Federal Reserve rulemaking of equity-market relevance surfaced this window beyond routine fee-schedule and administrative SRO filings (Cboe timestamping-service tweaks, Nasdaq fee-schedule housekeeping, an LTSE rule-text update).

Canada

CSA's lower active-trading fee cap for inter-listed stocks takes effect. The maximum fee marketplaces may charge for active (taker) trades in interlisted securities priced at C$1.00 or more dropped from C$0.0030 to C$0.0017 per share on 2 November, under NI 23-101 amendments the CSA adopted back in April. CSA notice of amendments

Nothing new from CIRO, TMX/TSX or the Bank of Canada's market-infrastructure side this window.

Latin America

A quiet window across B3/CVM, the BCB, Banxico/CNBV, Chile's CMF and Argentina's CNV/BCRA — no new Comunicado Externo, Resolução/Edital, Comunicação or Resolución General touching trading, listing or settlement rules this window.

Informational only — summaries of public regulatory and central bank sources; not advice.