6/11/2026 11:14:22 AM FCA Doubles UK EMIR Commodity Clearing Threshold to EUR 6 Billion By Carolyn Jackson Ciara Watson Eleanor Bines On 29 May 2026, the Financial Conduct Authority (FCA) published Handbook Notice 141, confirming a significant recalibration of the...
6/10/2026 9:53:54 PM Cboe Defends Proposed Disruptive Trading Rule in Response to Industry Pushback By Christian Kemnitz Peter Wilson Zachary Schmitz Casey McClaren Jessica Gracik +2 more... Show less Following the SEC’s determination to seek public comments regarding Cboe’s proposed Rule 8.23 governing disruptive trading practices...
6/10/2026 8:43:44 PM CFTC Eliminates ‘No-Deny’ Settlement Policy By Christian Kemnitz Carl Kennedy Brian Poronsky Sam Bevenour Alexa Warner +2 more... Show less On June 3, 2026, the Commodity Futures Trading Commission (the CFTC or Commission) rescinded its longstanding policy requiring defendants...
6/5/2026 7:28:33 PM NFA Seeks to Ease Member Requirements Regarding Annual Questionnaire Filings and Branch Office Supervision By Carl Kennedy Nicholas Gervasi Alex Kim Gabriela Urias +1 more... Show less The National Futures Association (NFA) submitted two new proposals to the Commodity Futures Trading Commission (CFTC or the Commission)...
6/5/2026 11:58:35 AM ESAs Publish First Report on Major ICT-Related Incidents Under DORA By Nathaniel Lalone Ciara Watson On 3 June 2026, the three European Supervisory Authorities (the European Banking Authority, the European Securities and Markets Authority...
6/4/2026 8:59:55 PM The Supreme Court Rejects Further Limits on SEC Disgorgement By Patrick Smith Richard Marshall Susan Light On June 4, 2026, in Sripetch v. SEC, No. 25–466, the Supreme Court unanimously held that the Securities and Exchange Commission (SEC)...
6/1/2026 3:38:08 PM No Closing Bell: CFTC Staff Advisory Provides Guidance on 24/7 Trading and Clearing By Carl Kennedy Stephen Morris James Brady Nicholas Gervasi Alexa Warner +2 more... Show less Closing bells may soon be a thing of the past in US derivatives markets. In Advisory Letter No. 26-16 (the Advisory), the Commodity...
5/28/2026 11:16:00 PM Keeping Tabs: CFTC and DOJ Charge Software Engineer with Insider Trading for Prediction Market Trades By Christian Kemnitz Carl Kennedy Matt Kluchenek Brian Poronsky Zachary Schmitz +2 more... Show less Following on the heels of the highly publicized first criminal and civil case charging insider trading in prediction markets, the US...
5/27/2026 9:22:53 AM Tokenisation in UK Wholesale Markets: the FCA and Bank of England Publish Long-Term Vision By Christopher Collins Carolyn Jackson Nathaniel Lalone Neil Robson Ciara Watson Eleanor Bines +3 more... Show less On 18 May 2026, the Financial Conduct Authority (“FCA”) and the Bank of England (“BoE”), including the Prudential Regulation Authority...
5/26/2026 3:01:42 PM President Trump Issues Executive Order to Facilitate Fintech Innovation in the United States By Michael Didiuk Christina Grigorian Carl Kennedy Adam Bolter Lori Jacobs Alex Kim Alexa Warner +4 more... Show less President Donald J. Trump signed an executive order on May 19, 2026, titled “Integrating Financial Technology Innovation into Regulatory...
5/22/2026 7:06:08 PM SCOTUS Rules Federal Courts Retain Jurisdiction in Post-Arbitration Proceedings: Implications for FINRA and NFA Arbitrations By Brian Poronsky Ben Levine Last week, the Supreme Court held that federal courts that compel arbitration and stay a case pending completion of that arbitration...
5/22/2026 5:54:02 PM Self-Reporting and Cooperation 3.0: CFTC Enforcement Division’s New Policy Offers a Clearer Path to Declination By Dan Davis Christian Kemnitz Carl Kennedy Matt Kluchenek Brian Poronsky Zachary Schmitz Mitchell Caminer Alexa Warner +5 more... Show less Building on recent public statements by Commodity Futures Trading Commission (CFTC or Commission) Enforcement Director David Miller,[1]...
5/22/2026 2:34:24 PM Breaking New Ground: SEC and NFA Sign First-Ever Memorandum of Understanding By Carl Kennedy Alex Kim Michael Didiuk Matt Kluchenek +1 more... Show less The Securities and Exchange Commission (SEC) and the National Futures Association (NFA) announced an unprecedented step in regulatory...
5/19/2026 6:22:02 PM A Major Change in SEC Enforcement Settlements: SEC Rescinds ‘No-Deny’ Policy By Susan Light Wayne M. Aaron Michael Diver Christian Kemnitz Michael Lohnes Richard Marshall +3 more... Show less On May 18, 2026, the Securities and Exchange Commission (SEC) announced that it had rescinded its longstanding “no-deny” (gag) settlement...
5/14/2026 9:17:17 PM SEC's Second Podcast Spotlights a 'Spring Cleaning' of Corporate Disclosure By Carl Kennedy Michael Didiuk Adam Bolter Lori Jacobs Alexa Warner +2 more... Show less On May 12, the Securities and Exchange Commission (SEC) released the second episode of its podcast, Material Matters, with Chairman Paul...
5/8/2026 5:51:14 PM SEC Adopts Inflation-Based Adjustment to 'Qualified Client' Thresholds for Performance Fees By Michael Didiuk Alexa Warner Adam Bolter On April 28, 2026, the Securities and Exchange Commission (SEC) issued a final order adjusting for inflation the dollar amount thresholds...