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12/10/2025 5:40:30 PM

Consistent Definitions, Less Confusion: CFTC Divisions Streamline and Harmonize Cross-Border Swap Compliance

By Carl Kennedy Dan Davis Carolyn Jackson

The US Commodity Futures Trading Commission (CFTC or Commission) has taken a significant step toward regulatory clarity and harmonization...

12/9/2025 2:56:11 PM

GENIUS ACT – Banking Regulators Prepare to Publish Proposed Rules

By Dan Davis Carl Kennedy Christina Grigorian +2 more...

As disclosed by recent comments during Congressional hearings,[1] publication of proposed regulations by the federal financial regulators...

12/4/2025 9:10:16 PM

CARB - Enforcement Advisory

By Farzad Damania Ryan Lilley Alexa Rollins +1 more...

On December 1, 2025, the California Air Resources Board (CARB) released an enforcement advisory, announcing that it will not enforce...

12/3/2025 4:28:34 PM

FCA Publishes Final Rules on Systematic Internaliser Regime for Bonds and Derivatives and Matched Principal Trading by MTF Operators

By Christopher Collins Carolyn Jackson Nathaniel Lalone +3 more...

On 28 November 2025, the Financial Conduct Authority (FCA) published a policy statement (PS25/17) finalising rules proposed in its July...

12/2/2025 11:26:44 PM

All’s Well That Ends Well: The CFTC Amends Its Wells Notice Process and Other Rules of Practice for the Better

By Carl Kennedy Matt Kluchenek Zachary Schmitz

For years, the Commodity Futures Trading Commission (CFTC or Commission) has exercised broad discretion in investigating and prosecuting...

11/26/2025 4:06:04 PM

Improving UK Transaction Reporting: FCA Consults on Streamlined Framework

By Christopher Collins Carolyn Jackson Nathaniel Lalone +3 more...

On 21 November 2025, the Financial Conduct Authority (FCA) published a consultation paper (CP25/32) setting out proposed reforms to the...

11/25/2025 10:36:33 PM

State-Level Digital Asset Licensing: What to Watch as We Head Into 2026

By Dan Davis Michael Didiuk Carl Kennedy +1 more...

California, Louisiana, and Illinois have established comprehensive crypto licensing frameworks that mirror New York’s BitLicense regime. ...

11/25/2025 11:04:07 AM

ESAs Publish List of Critical ICT Third Party Service Providers under EU DORA

By Nathaniel Lalone Ciara McBrien

On 18 November 2025, the European Supervisory Authorities (ESAs) published the first list of designated critical information and...

11/24/2025 9:58:01 PM

Med Spas at the Intersection of Beauty, Wellness, and Law

By Anthony Del Rio Julia DeVincenzi

Medical spas (commonly called “med spas”) blend the clinical capabilities of an aesthetic medical practice with the hospitality and...

11/21/2025 12:06:18 PM

UK EMIR Update: Intragroup Exemption Consultations and Additional Q&As

By Carolyn Jackson Ciara McBrien James Wells

On 5 November 2025, HM Treasury (HMT) published a draft statutory instrument, the Over-the Counter-Derivatives (Intragroup Transactions)...

11/20/2025 2:07:03 PM

Lessons Learnt from Ofcom's First Enforcement of the Online Safety Act - Lessons from 4chan

By Terry Green Larry Wong

Since the Online Safety Act’s (OSA) first requirements came into force in January 2025, Ofcom has published its first confirmation...

11/19/2025 5:42:54 PM

FINRA Case Involving Gifts and Entertainment

By Richard Marshall

On October 21, the Financial Industry Regulatory Authority (FINRA) filed a settled enforcement action involving allegedly improper gifts...

11/19/2025 5:38:29 PM

State Regulators Announce Enforcement Priorities

By Richard Marshall

On October 16, the North American Securities Administrators Association (NASAA) published the enforcement priorities for state securities...

11/19/2025 5:32:56 PM

SEC Chairman Prioritizes Public Offering Reforms; Trump Signals Renewed Scrutiny of Proxy Advisers

By Richard Marshall

Recent developments indicate a dual focus on regulatory reform for public companies, with the SEC Chairman Paul Atkins prioritizing...

11/18/2025 2:59:46 PM

Medicare Launches Prior Authorization Pilot for Select Services in Six States: What Hospitals Need to Know

By Anthony Del Rio Vinal Patel

Medicare is launching a significant new prior authorization initiative under the CMS Innovation Center’s Wasteful and Inappropriate...

11/17/2025 10:06:01 PM

SEC Chairman Calls for a Fairer Wells Process: Reinforcing Due Process and Transparency in Enforcement

By Susan Light Alex Kim

Securities and Exchange Commission (SEC) Chairman Atkins recently spoke at Fordham Law School for the “25th Annual A.A. Sommer, Jr....

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Consistent Definitions, Less Confusion: CFTC Divisions Streamline and Harmonize Cross-Border Swap Compliance

GENIUS ACT – Banking Regulators Prepare to Publish Proposed Rules

CARB - Enforcement Advisory

FCA Publishes Final Rules on Systematic Internaliser Regime for Bonds and Derivatives and Matched Principal Trading by MTF Operators

All’s Well That Ends Well: The CFTC Amends Its Wells Notice Process and Other Rules of Practice for the Better

Improving UK Transaction Reporting: FCA Consults on Streamlined Framework

State-Level Digital Asset Licensing: What to Watch as We Head Into 2026

ESAs Publish List of Critical ICT Third Party Service Providers under EU DORA

Med Spas at the Intersection of Beauty, Wellness, and Law

UK EMIR Update: Intragroup Exemption Consultations and Additional Q&As

Lessons Learnt from Ofcom's First Enforcement of the Online Safety Act - Lessons from 4chan

FINRA Case Involving Gifts and Entertainment

State Regulators Announce Enforcement Priorities

SEC Chairman Prioritizes Public Offering Reforms; Trump Signals Renewed Scrutiny of Proxy Advisers

Medicare Launches Prior Authorization Pilot for Select Services in Six States: What Hospitals Need to Know

SEC Chairman Calls for a Fairer Wells Process: Reinforcing Due Process and Transparency in Enforcement

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