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6/18/2026 6:22:43 PM

Five Predictions for Tokenization in 2027

By Matt Kluchenek Dan Davis Michael Didiuk +2 more...

At the recent Crypto with Katten symposium, co-sponsored with the Investment Advisers Association (IAA), Katten hosted a panel on “The...

6/17/2026 2:51:04 PM

Supreme Court Rejects Implied Private Right of Action Under Section 47(b) of the Investment Company Act of 1940

By Kevin Broughel Sarah Eichenberger Michael Didiuk +2 more...

On June 11, the Supreme Court, in a 6-3 decision authored by Justice Amy Coney Barrett, joined by Justices John G. Roberts, Clarence...

6/16/2026 3:11:41 PM

Show Me the Fees: SEC Risk Alert Zeroes in on Economic Conflicts of Interest

By Adam Bolter Michael Didiuk

The SEC’s Division of Examinations(Division) issued a Risk Alert on June 9, highlighting its observations during a review of the economic...

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 +2 more...

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 +2 more...

On June 3, 2026, the Commodity Futures Trading Commission (the CFTC or Commission) rescinded its longstanding policy requiring defendants...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 +1 more...

The National Futures Association (NFA) submitted two new proposals to the Commodity Futures Trading Commission (CFTC or the Commission)...

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 +2 more...

Closing bells may soon be a thing of the past in US derivatives markets. In Advisory Letter No. 26-16 (the Advisory), the Commodity...

5/27/2026 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 +3 more...

On 18 May 2026, the Financial Conduct Authority (“FCA”) and the Bank of England (“BoE”), including the Prudential Regulation Authority...

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 +5 more...

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 +1 more...

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 +3 more...

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 +2 more...

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...

5/5/2026 3:05:49 PM

FCA Policy Statement on Fund Tokenisation: What You Need to Know

By Christopher Collins Ryan Hansen Thomas Laurer +4 more...

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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