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On April 28, 2026, the Securities and Exchange Commission (SEC) issued a final order adjusting for inflation the dollar amount thresholds...
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On 30 April 2026, the Financial Conduct Authority (“FCA”) published a policy statement (“PS26/7”), setting out rules and guidance to...
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More than a decade after targeting disruptive trading practices by implementing Rule 575, CME Group (CME) continues to fine-tune its...
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On April 16, the Securities and Exchange Commission (SEC) issued a concept release soliciting public comment on a comprehensive review of...
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On 22 April 2026, the Financial Conduct Authority (FCA) published its policy statement PS26/6, confirming a package of reforms to the...
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The US options market is booming, but is its regulatory framework keeping pace? On April 16, the Securities and Exchange Commission (SEC)...
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On 16 April 2026, the Financial Conduct Authority (FCA) published Policy Statement PS26/5, setting out its final rules and guidance for...
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In a matter of first impression, the Second Circuit recently affirmed the district court’s dismissal of Securities Act claims in Knapp v....
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On April 16, 2026, the Securities and Exchange Commission (SEC) debuted its podcast, Material Matters, with Chairman Paul S. Atkins...
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The Securities and Exchange Commission’s (SEC or Commission) recently released enforcement results for the 2025 fiscal year (Results)...
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Making clear that the era of “regulation by enforcement” is over, Commodity Futures Trading Commission (CFTC) Director of Enforcement...
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In a somewhat unusual step, the Securities and Exchange Commission (SEC) paused the effort by the Chicago Board Options Exchange (Cboe)...
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The Securities and Exchange Commission (SEC) approved the joint industry proposal (Proposed Amendment), spearheaded by Consolidated Audit...
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Securities and Exchange Commission (SEC or Commission) Commissioner Hester Peirce delivered wide-ranging remarks at SIFMA's Compliance...
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Financial Industry Regulatory Authority (FINRA) President and CEO Robert Cook spoke at the 2026 SIFMA Compliance & Legal Annual...
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In a candid fireside chat at the 2026 SIFMA Compliance and Legal Annual Conference, Securities and Exchange Commission (SEC or...