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9/2/2025 3:05:36 PM

Setting the Record Straight: CFTC Staff Reaffirm the Commission’s FBOT Framework, Providing Clarity to Non-US Exchanges

By Carl Kennedy Dan Davis Christopher Collins +2 more...

Amid “recent confusion and disruption regarding whether non-US exchanges should register [with the Commodity Futures Trading Commission...

9/1/2025 11:07:57 AM

FCA Findings Following UK Review of Algorithmic Trading Controls

By Neil Robson Sara Portillo

The UK Financial Conduct Authority (FCA) has recently published the findings of its latest multi-firm review (the Review), assessing ten...

8/27/2025 4:46:33 PM

Just Over Two Weeks to Complete EDGAR Next Enrollment

By Christian Hennion David Dickstein Adam Bolter +3 more...

In 2024, the United States Securities and Exchange Commission (SEC) adopted “EDGAR Next,” which involved amendments intended to provide...

8/7/2025 4:08:39 PM

FCA Opens UK Retail Access to Crypto Exchange Traded Notes

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

On 1 August 2025, the Financial Conduct Authority (FCA) issued a press release (the Press Release) announcing that UK retail consumers...

8/7/2025 4:02:37 PM

Hitting the Snooze Button: CFTC Staff Issues Relief Intended to Reduce Burdens of Swap Data Notification Requirements

By Carl Kennedy

Staff from the Commodity Futures Trading Commission’s (CFTC) Division of Market Oversight issued No-Action Relief Letter 25-25 on July...

8/6/2025 6:02:09 PM

A CAT-astrophic Funding Model? Court Sends SEC Back to the Drawing Board

By James Brady Michael Lohnes Nicholas Gervasi

The US Court of Appeals for the Eleventh Circuit (Eleventh Circuit) recently vacated the Securities and Exchange Commission’s (SEC) 2023...

8/4/2025 6:04:53 PM

CFTC Issues No-Action Relief for SEFs on Order Book Obligations

By Caron Song Carl Kennedy

In a marked departure from its position since 2013, the Commodity Futures Trading Commission (CFTC) issued No-Action Letter 25-24 on July...

7/24/2025 7:11:18 PM

FINRA Aligns CAT Timestamp Requirements with SEC Relief and Extension to 2030

By James Brady Michael Lohnes Nicholas Gervasi

The Financial Industry Regulatory Authority (FINRA) is updating Rule 6860(a)(2) so that industry members who use time stamps more...

7/15/2025 9:02:21 PM

Texas Court Stays CAT Class Action, But Reporting Must Continue

By James Brady Michael Lohnes Nicholas Gervasi

On July 7, Judge Alan Albright of the US District Court for the Western District of Texas granted the Securities and Exchange...

7/3/2025 2:48:49 PM

CFTC’s FCM FAQ Aims to Guide New Market Entrants but Adds No New Obligations

By Carl Kennedy Stephen Morris Matt Kluchenek +1 more...

On June 30, the Commodity Futures Trading Commission’s (CFTC) Market Participants Division (MPD) published a new FAQ clarifying...

6/16/2025 1:17:09 PM

SEC Requests Stay of CAT-Related Class Action Proceedings

By James Brady Michael Lohnes Nicholas Gervasi

On June 11, the Securities and Exchange Commission (SEC) requested a stay of proceedings in a pending class action lawsuit challenging...

6/2/2025 7:04:23 PM

Can There be Only One? The CFTC Faces an Unprecedented Moment with Potentially One Commissioner

By Carl Kennedy Dan Davis Nicholas Gervasi

As commissioners continue to depart, the Commodity Futures Trading Commission (CFTC or Commission) may soon find itself in an...

5/30/2025 5:53:44 PM

Stay on Alert: CFTC Staff Reminds Registered Exchanges and Clearinghouses to Evaluate and Calibrate Their Volatility Control Mechanisms

By Carl Kennedy Eli Krasnow

The Commodity Futures Training Commission’s (“CFTC”) Division of Market Oversight and Division of Clearing and Risk issued an advisory...

5/29/2025 7:44:38 PM

SEC Signals Reevaluation of CAT Reporting Amid Broader Transparency and Regulatory Reform Efforts

By James Brady Michael Lohnes Nicholas Gervasi

Securities and Exchange Commission (SEC) Chairman Paul S. Atkins recently directed SEC staff to conduct a review of the Consolidated...

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...

5/5/2025 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...

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Setting the Record Straight: CFTC Staff Reaffirm the Commission’s FBOT Framework, Providing Clarity to Non-US Exchanges

FCA Findings Following UK Review of Algorithmic Trading Controls

Just Over Two Weeks to Complete EDGAR Next Enrollment

FCA Opens UK Retail Access to Crypto Exchange Traded Notes

Hitting the Snooze Button: CFTC Staff Issues Relief Intended to Reduce Burdens of Swap Data Notification Requirements

A CAT-astrophic Funding Model? Court Sends SEC Back to the Drawing Board

CFTC Issues No-Action Relief for SEFs on Order Book Obligations

FINRA Aligns CAT Timestamp Requirements with SEC Relief and Extension to 2030

Texas Court Stays CAT Class Action, But Reporting Must Continue

CFTC’s FCM FAQ Aims to Guide New Market Entrants but Adds No New Obligations

SEC Requests Stay of CAT-Related Class Action Proceedings

Can There be Only One? The CFTC Faces an Unprecedented Moment with Potentially One Commissioner

Stay on Alert: CFTC Staff Reminds Registered Exchanges and Clearinghouses to Evaluate and Calibrate Their Volatility Control Mechanisms

SEC Signals Reevaluation of CAT Reporting Amid Broader Transparency and Regulatory Reform Efforts

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

UK Cryptoassets: Draft Legislation and FCA Discussion Paper Published

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