4/14/2025 5:01:24 PM SEC Issues Crypto Securities Disclosure Statement as IRS DeFi Broker Rule Repealed By Dan Davis Alex Kim The Securities and Exchange Commission (SEC) Division of Corporation Finance issued a new statement about SEC staff’s experience with SEC...
4/10/2025 6:47:49 PM After 12 Enforcement Actions and 9 No-Action Letters, CFTC Staff Effectively Repeals the Pre-Trade Mid-Market Mark Disclosure Requirement By Carl Kennedy The Commodity Futures Trading Commission's (CFTC or Commission) Market Participants Division (MPD) issued Letter 25-09, which effectively...
4/9/2025 2:13:31 PM DORA Compliance: Navigating the Latest Developments By Nathaniel Lalone Ciara McBrien On 24 March 2025, the following two developments relating to the implementation of the EU Digital Operational Resilience Act (DORA) took...
4/7/2025 2:41:29 PM SEC Provides Stablecoin Guidance Amid Legislative Developments By Dan Davis Alex Kim On Friday, the Securities and Exchange Commission's (SEC) Division of Corporation Finance issued guidance clarifying when certain...
4/1/2025 8:38:58 PM CFTC Withdraws Pair of Advisories on Heightened Review Approach to Digital Asset Derivatives By Dan Davis On March 28, the staff of the Commodity Futures Trading Commission (CFTC) issued two press releases announcing the withdrawal of two...
4/1/2025 6:28:31 PM Winding Back the Clock: CFTC Withdraws Controversial SEF Registration Staff Letter By Carl Kennedy Carolyn Jackson Nathaniel Lalone Christopher Collins +1 more... Show less The Division of Market Oversight (DMO) of the Commodity Futures Trading Commission (CFTC) has withdrawn its previous staff advisory...
3/26/2025 3:30:12 PM SEC Marketing Rule Update: New Staff FAQs on Performance Presentations By Adam Bolter On March 19, Staff from the Securities and Exchange Commission (SEC) issued much-needed (and anticipated) relief in the form of two new...
3/21/2025 2:49:26 PM SEC Clarifies Position on Proof-of-Work Mining: What It Means for Bitcoin and Beyond By Dan Davis Alex Kim The Securities and Exchange Commission's (SEC) Division of Corporation Finance issued a significant statement yesterday that certain...
3/19/2025 10:58:41 AM Navigating DORA Compliance: Recent Developments By Nathaniel Lalone Ciara McBrien The EU Digital Operational Resilience Act (DORA) took effect on 17 January 2025 after a two-year implementation period. DORA sets out new...
3/17/2025 7:33:09 PM FINRA Proposes and Seeks Comment on Simplified Rules for Outside Business Activities and Private Securities Transactions By Wayne Aaron On Friday, March 14, in Regulatory Notice 25-05, the Financial Industry Regulatory Authority (FINRA) proposed a new rule to address when...
3/11/2025 6:45:50 PM CFTC Acting Chairman Pham Announces Effort to Quickly Resolve Recordkeeping and Reporting Investigations and Pledges Additional Guidance on Self-Reporting and Cooperation By Zachary Schmitz Carl Kennedy During her keynote address at the Futures Industry Association’s International Futures Industry Conference, BOCA50, CFTC Acting Chairman...
3/7/2025 6:48:52 PM Executive Order Establishes Strategic Bitcoin Reserve and Digital Asset Stockpile By Dan Davis Alex Kim Bitcoin and other digital assets now have a welcome home in the United States government. On March 6, President Trump signed an executive...
2/24/2025 4:42:42 PM President Trump Executive Order on Supervision of 'Independent' Agencies By Dan Davis Carl Kennedy Nicholas Gervasi Amidst a blitz of executive action, on February 18, President Donald Trump signed an executive order entitled “Ensuring Accountability...
2/13/2025 5:07:06 PM SEC Grants Further Relief From Including Personally Identifiable Information in CAT Reporting By James Brady Michael Lohnes Wayne Aaron Susan Light +1 more... Show less On February 10, the Securities and Exchange Commission (SEC) granted relief exempting industry members from reporting a natural person’s...
2/10/2025 12:23:07 PM European Commission Rejects Draft DORA RTS on Sub-contracting By Nathaniel Lalone Ciara McBrien The European Commission (Commission) recently published a letter (Letter) that it sent to the European Supervisory Authorities (ESAs)...
2/7/2025 2:50:33 PM FCA Publishes Policy Statement on UK’s Commodity Derivatives Regulatory Framework Reform By Carolyn Jackson Christopher Collins Ciara McBrien On 5 February 2025, the UK Financial Conduct Authority (FCA) published a policy statement (PS25/1) setting out its response and final...