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5/22/2025 3:02:56 PM

Regulatory Clarity and Practical Challenges: Unpacking CFTC Letters 25-09 and 25-10

By Carl Kennedy Alex Kim

Derivatives market participants continue to process the implications of two significant interpretive letters issued by the Commodity...

5/16/2025 9:05:45 PM

A Sigh of Relief: SEC Reporting Parties Can Continue Following CFTC Reporting Rules When Reporting Security-Based Swap Data Until 2029

By Carl Kennedy Nicholas Gervasi

As a result of the Securities and Exchange Commission (SEC or the Commission) recently extending relief that the Commission originally...

5/16/2025 7:40:41 PM

SEC’s Division of Trading and Markets Issues New FAQ Guidance on Broker-Dealer Custody and Net Capital Treatment of Cryptoassets

By Dan Davis Susan Light Wayne Aaron +2 more...

The Securities and Exchange Commission (SEC) has taken a significant step toward permitting broker-dealers to custody digital assets and...

5/5/2025 2:42:50 PM

UK Cryptoassets: Draft Legislation and FCA Discussion Paper Published

By Christopher Collins Neil Robson Carolyn Jackson +3 more...

On 29 April, UK Chancellor Rachel Reeves announced the publication by HM Treasury of near-final legislation to bring cryptoassets within...

4/28/2025 9:22:37 AM

Replacing UK PRIIPs: FCA Consults on Further Proposals for Consumer Composite Investments

By Neil Robson Carolyn Jackson Nathaniel Lalone +3 more...

The UK Financial Conduct Authority (FCA) has recently published a consultation paper (CP25/9) setting out further proposals on product...

4/22/2025 8:56:45 PM

A New Playbook: What the CFTC's Operating Divisions Will Consider When Making Enforcement Referrals

By Carl Kennedy

The three operating divisions of the CFTC (Division of Market Oversight, Market Participants Division, and the Division of Clearing and...

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SEC Issues Crypto Securities Disclosure Statement as IRS DeFi Broker Rule Repealed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 +1 more...

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...

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Regulatory Clarity and Practical Challenges: Unpacking CFTC Letters 25-09 and 25-10

A Sigh of Relief: SEC Reporting Parties Can Continue Following CFTC Reporting Rules When Reporting Security-Based Swap Data Until 2029

SEC’s Division of Trading and Markets Issues New FAQ Guidance on Broker-Dealer Custody and Net Capital Treatment of Cryptoassets

UK Cryptoassets: Draft Legislation and FCA Discussion Paper Published

Replacing UK PRIIPs: FCA Consults on Further Proposals for Consumer Composite Investments

A New Playbook: What the CFTC's Operating Divisions Will Consider When Making Enforcement Referrals

SEC Issues Crypto Securities Disclosure Statement as IRS DeFi Broker Rule Repealed

After 12 Enforcement Actions and 9 No-Action Letters, CFTC Staff Effectively Repeals the Pre-Trade Mid-Market Mark Disclosure Requirement

DORA Compliance: Navigating the Latest Developments

SEC Provides Stablecoin Guidance Amid Legislative Developments

CFTC Withdraws Pair of Advisories on Heightened Review Approach to Digital Asset Derivatives

Winding Back the Clock: CFTC Withdraws Controversial SEF Registration Staff Letter

SEC Marketing Rule Update: New Staff FAQs on Performance Presentations

SEC Clarifies Position on Proof-of-Work Mining: What It Means for Bitcoin and Beyond

Navigating DORA Compliance: Recent Developments

FINRA Proposes and Seeks Comment on Simplified Rules for Outside Business Activities and Private Securities Transactions

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