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
#监管政策
美国证监会新闻 美国证监会新闻 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
美国证监会新闻 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
证监会行政处罚精选AI 评分6262 证监会处罚陈欢、周厚禄、李萍萍操纵证券市场，合计罚款800万元并市场禁入
证监会对陈欢、周厚禄、李萍萍操纵证券市场行为作出行政处罚，合计罚款800万元，其中陈欢承担300万元、周厚禄承担200万元、李萍萍承担300万元。三人被认定在2023年2月20日至2024年8月1日期间控制使用多个他人证券账户，通过集中资金优势、持股优势连续买卖及账户间交易影响相关股票价格和交易量，相关交易无违法所得。证监会还对陈欢、李萍萍采取3年证券市场禁止交易措施，对周厚禄采取2年措施。
推荐理由：证监会公布对陈欢、周厚禄、李萍萍操纵证券市场案的处罚，含罚款分摊与市场禁入年限，可看到共同操纵的认定与量罚口径。
证监会行政处罚精选AI 评分6060 证监会处罚杨将内幕交易，没收违法所得215.6万元并罚款646.9万元
证监会作出〔2026〕44号行政处罚决定，认定杨将在内幕信息敏感期内与内幕信息知情人频繁联络接触，控制使用多个证券账户买卖相关公司股票，盈利2,156,230.61元，构成内幕交易。
推荐理由：证监会公布的内幕交易处罚决定书，完整披露了敏感期认定、违法所得计算和申辩复核过程，可了解执法认定口径。
证监会行政处罚AI 评分4747 中国证监会〔2026〕43号行政处罚决定书：翁宇轩内幕交易被罚没81.26万元
中国证监会作出〔2026〕43号行政处罚决定，认定翁宇轩在2024年10月9日形成、2025年2月22日公开的重大资产重组内幕信息敏感期内，与内幕信息知情人联络接触，2025年2月13日至19日控制多个证券账户买卖相关公司股票，盈利312,555.81元。证监会责令其依法处理非法持有的证券，没收违法所得312,555.81元，并处500,000元罚款。
美国证监会新闻 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
美国证监会新闻 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
证监会行政处罚精选AI 评分7878 证监会对元道通信欺诈发行及年报虚假记载作出行政处罚
中国证监会对元道通信欺诈发行及信息披露违法行为作出行政处罚，综合两项对元道通信责令改正、给予警告并处以238,836,800元罚款。2019年至2021年元道通信通过虚构工作量确认单等方式虚增营业收入65,902,640.59元、160,688,291.80元、263,632,076.14元，2022年年度报告虚增营业收入166,218,396.33元。
推荐理由：处罚决定书完整披露了虚增收入的认定口径、责任人员划分和申辩复核过程，可对照理解欺诈发行与年报虚假记载的量罚尺度。
证监会要闻 关于资本市场支持构建房地产发展新模式的意见
中国证监会各派出机构，各交易所，各下属单位，各协会，会内各司局： 为贯彻落实党中央、国务院关于加快构建房地产发展新模式、推动房地产高质量发展的重要决策部署，改革完善房地产融资制度，加快构建与房地产发展新模式相匹配的资本市场服务体系，服务住房
证监会要闻 中国证监会发布《关于资本市场支持构建房地产发展新模式的意见》
为贯彻落实党中央、国务院关于加快构建房地产发展新模式、推动房地产高质量发展的重大决策部署，加快构建与房地产发展新模式相匹配的资本市场服务体系，服务住房品质提升和企业转型发展，促进金融与房地产良性循环，中国证监会制定了《关于资本市场支持构建房
美国证监会新闻 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
美联储新闻 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
美联储货币政策AI 评分2222 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。
美联储新闻 Federal Reserve Board announces approval of application by National Westminster Bank Plc
Federal Reserve Board announces approval of application by National Westminster Bank Plc
美联储新闻 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
美联储新闻 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
美国证监会新闻 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,
美国证监会新闻 SEC Proposes New Regulation Crypto Assets
The Securities and Exchange Commission today announced that it proposed new rules, titled “Regulation Crypto Assets,” th
证监会行政处罚精选AI 评分6060 证监会就陈广华编造、传播虚假信息作出行政处罚，罚款20万元
中国证监会作出〔2026〕40号行政处罚决定书，对陈广华编造、传播虚假信息行为处以20万元罚款。陈广华使用本人实名认证、粉丝超103万人的自媒体账号，于2026年2月3日发布含有税率调整内容的信息，经查为虚假信息，其未核实真实性即传播，扰乱证券市场，且无违法所得。证监会认定其违反《证券法》第五十六条第一款，构成第一百九十三条第一款所述行为；当事人未提出陈述、申辩意见，也未要求听证。
推荐理由：处罚决定书披露了自媒体传播虚假税率信息被认定扰乱证券市场的认定路径与20万元罚款幅度，可供理解此类行为的监管边界。
证监会行政处罚AI 评分5454 证监会就卢润凯编造传播虚假信息作出行政处罚，罚款20万元
中国证监会作出〔2026〕39号行政处罚决定书，认定卢润凯编造、传播虚假信息，对其处以20万元罚款。2026年2月2日，卢润凯通过某APP生成一篇含有税率调整内容的文章，并于当日用本人某APP账号全文发布，经查该信息为虚假信息；其在未核实真实性的情况下发布，导致虚假信息在互联网平台广泛传播，扰乱证券市场，且没有违法所得。
证监会行政处罚AI 评分5252 证监会就马星瑞编造、传播虚假信息作出行政处罚，罚款30万元
中国证监会作出〔2026〕38号行政处罚决定书，对证券从业人员马星瑞编造、传播虚假信息行为处以30万元罚款。2025年12月16日，马星瑞在微信群内浏览到涉及税率调整的相关信息后原文转发至其他微信群，经查该信息为虚假信息；证监会认定其未履行必要注意义务、未核实真实性即传播，导致虚假信息在互联网平台广泛传播，扰乱证券市场，且无违法所得。
美国证监会新闻 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
证监会要闻 中国证监会发布上市公司2025年年度财务报告会计监管报告
截至2026年4月30日，共5,517家上市公司披露了2025年年度财务报告，其中主板3,201家、创业板1,397家、科创板608家、北交所311家。按期披露年度财务报告的上市公司中，214家被出具非标准审计意见，其中被出具带强调事项段或
美国证监会新闻 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
美联储新闻 Federal Reserve Board issues enforcement action with former employee of Regions Bank
Federal Reserve Board issues enforcement action with former employee of Regions Bank
证监会要闻 讣告
中国证监会原党委委员、原国有重点大型企业监事会主席马忠智同志（副部长级），因病医治无效，于2026年8月13日10时38分在北京逝世，享年82岁。 马忠智同志的遗体送别仪式定于8月19日（星期三）8时，在八宝山殡仪馆东礼堂举行。 特此讣告。
美国证监会新闻 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
美国证监会新闻 SEC Establishes Financial Reporting and Accounting Unit in Enforcement Division
The Securities and Exchange Commission today announced it is establishing a new specialized unit within the Division of
美联储新闻 Federal Reserve Board announces approval of the application by Coastal Bend Bancshares, Inc.
Federal Reserve Board announces approval of the application by Coastal Bend Bancshares, Inc.
美联储新闻 Federal Reserve Board announces approval of the application by Banco Santander, S.A. and Santander Holdings USA, Inc.
Federal Reserve Board announces approval of the application by Banco Santander, S.A. and Santander Holdings USA, Inc.
美联储新闻 Federal Reserve Board announces approval of the application by FS Bancorp, Inc.
Federal Reserve Board announces approval of the application by FS Bancorp, Inc.
证监会要闻 吴清主席出席人民币国债期货在港交所挂牌上市仪式并致辞
2026年8月3日，中国证监会主席吴清出席5年期人民币国债期货在港交所挂牌上市仪式并致辞。吴清在致辞中提出了一系列进一步深化两地市场务实合作、密切协同发展的新举措。 访港期间，吴清拜会了香港特别行政区行政长官李家超，并会见了香港财政司司长
美联储银行与消费者监管 Federal Reserve Board requests comment on a proposal to modernize its rule governing the extension of credit to bank "insiders"—bank executives, board members and major shareholders who could potentially influence a bank's lending decisions
Federal Reserve Board requests comment on a proposal to modernize its rule governing the extension of credit to bank &qu
美联储银行与消费者监管 Federal Reserve Board requests comment on a proposal to modernize rules for mutual banking organizations
Federal Reserve Board requests comment on a proposal to modernize rules for mutual banking organizations
证监会要闻 中国证监会同意焦炭期权注册
近日，中国证监会同意大连商品交易所焦炭期权注册。中国证监会将督促大连商品交易所做好各项准备工作，确保焦炭期权的平稳推出和稳健运行。
证监会要闻 金融监管总局 中国人民银行 中国证监会 财政部关于健全金融机构治理的实施意见
金发〔2026〕4号 各金融监管局，中国人民银行上海总部、各省、自治区、直辖市、计划单列市分行，中国证监会各监管局，各省、自治区、直辖市、计划单列市财政厅（局）、新疆生产建设兵团财政局： 为加快完善中国特色现代金融企业制度，持续健全金融机
美联储新闻 Federal Reserve Board issues enforcement actions with former employee of Regions Bank and former employee of First Interstate Bank
Federal Reserve Board issues enforcement actions with former employee of Regions Bank and former employee of First Inter
美联储新闻 Federal Reserve Board issues enforcement action with Iuka Bancshares, Inc. and The Iuka State Bank
Federal Reserve Board issues enforcement action with Iuka Bancshares, Inc. and The Iuka State Bank
美国证监会新闻 SEC Announces Continuation of Small Business Advisory Committee Meeting
The Securities and Exchange Commission announced that the Small Business Capital Formation Advisory Committee