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12/10/2025 5:40:30 PM

Consistent Definitions, Less Confusion: CFTC Divisions Streamline and Harmonize Cross-Border Swap Compliance

By Carl Kennedy Dan Davis Carolyn Jackson

The US Commodity Futures Trading Commission (CFTC or Commission) has taken a significant step toward regulatory clarity and harmonization...

12/9/2025 2:56:11 PM

GENIUS ACT – Banking Regulators Prepare to Publish Proposed Rules

By Dan Davis Carl Kennedy Christina Grigorian +2 more...

As disclosed by recent comments during Congressional hearings,[1] publication of proposed regulations by the federal financial regulators...

12/3/2025 4:28:34 PM

FCA Publishes Final Rules on Systematic Internaliser Regime for Bonds and Derivatives and Matched Principal Trading by MTF Operators

By Christopher Collins Carolyn Jackson Nathaniel Lalone +3 more...

On 28 November 2025, the Financial Conduct Authority (FCA) published a policy statement (PS25/17) finalising rules proposed in its July...

12/2/2025 11:26:44 PM

All’s Well That Ends Well: The CFTC Amends Its Wells Notice Process and Other Rules of Practice for the Better

By Carl Kennedy Matt Kluchenek Zachary Schmitz

For years, the Commodity Futures Trading Commission (CFTC or Commission) has exercised broad discretion in investigating and prosecuting...

11/26/2025 4:06:04 PM

Improving UK Transaction Reporting: FCA Consults on Streamlined Framework

By Christopher Collins Carolyn Jackson Nathaniel Lalone +3 more...

On 21 November 2025, the Financial Conduct Authority (FCA) published a consultation paper (CP25/32) setting out proposed reforms to the...

11/25/2025 10:36:33 PM

State-Level Digital Asset Licensing: What to Watch as We Head Into 2026

By Dan Davis Michael Didiuk Carl Kennedy +1 more...

California, Louisiana, and Illinois have established comprehensive crypto licensing frameworks that mirror New York’s BitLicense regime. ...

11/21/2025 12:06:18 PM

UK EMIR Update: Intragroup Exemption Consultations and Additional Q&As

By Carolyn Jackson Ciara McBrien James Wells

On 5 November 2025, HM Treasury (HMT) published a draft statutory instrument, the Over-the Counter-Derivatives (Intragroup Transactions)...

11/19/2025 5:42:54 PM

FINRA Case Involving Gifts and Entertainment

By Richard Marshall

On October 21, the Financial Industry Regulatory Authority (FINRA) filed a settled enforcement action involving allegedly improper gifts...

11/19/2025 5:38:29 PM

State Regulators Announce Enforcement Priorities

By Richard Marshall

On October 16, the North American Securities Administrators Association (NASAA) published the enforcement priorities for state securities...

11/19/2025 5:32:56 PM

SEC Chairman Prioritizes Public Offering Reforms; Trump Signals Renewed Scrutiny of Proxy Advisers

By Richard Marshall

Recent developments indicate a dual focus on regulatory reform for public companies, with the SEC Chairman Paul Atkins prioritizing...

11/17/2025 10:06:01 PM

SEC Chairman Calls for a Fairer Wells Process: Reinforcing Due Process and Transparency in Enforcement

By Susan Light Alex Kim

Securities and Exchange Commission (SEC) Chairman Atkins recently spoke at Fordham Law School for the “25th Annual A.A. Sommer, Jr....

11/14/2025 3:54:48 PM

After the 43‑Day Shutdown: What CFTC Market Participants and Registered Entities Should Expect

By Carl Kennedy

The federal government’s 43‑day shutdown — which ended with a late‑evening November 12 funding bill and next‑day return to duty for...

11/6/2025 3:53:35 PM

Are You Using 'Finfluencers': Practical Guidance for CFTC-Registered Derivatives Intermediaries and Exchanges

By Carl Kennedy

Retail participation in futures, forex and swaps has accelerated markedly in recent years, propelled by low-cost access, mobile platforms...

11/4/2025 4:55:44 PM

Court Dismisses Overly-Technical Claim That FDCPA Applies to Communications With Vendors Mailing Collection Letters

By Ted Huffman

The Fair Debt Collection Practices Act (FDCPA) imposes various requirements on debt collectors aimed to protect consumers’ privacy rights...

11/3/2025 2:37:09 PM

Keeping it Short: FCA Consults on Implementation of Streamlined UK Short Selling Regime

By Christopher Collins Carolyn Jackson Nathaniel Lalone +3 more...

On 28 October 2025, the Financial Conduct Authority (FCA) published a consultation paper (CP25/29) proposing significant changes to the...

10/29/2025 6:11:24 PM

Regulatory Compliance in Leveraged ETF Sales Practices

By Michael Diver Richard Marshall Alex San Martin

The Wall Street Journal reported last week that “Popular Leveraged Funds Shock Investors With Huge Losses.” It is important to...

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Consistent Definitions, Less Confusion: CFTC Divisions Streamline and Harmonize Cross-Border Swap Compliance

GENIUS ACT – Banking Regulators Prepare to Publish Proposed Rules

FCA Publishes Final Rules on Systematic Internaliser Regime for Bonds and Derivatives and Matched Principal Trading by MTF Operators

All’s Well That Ends Well: The CFTC Amends Its Wells Notice Process and Other Rules of Practice for the Better

Improving UK Transaction Reporting: FCA Consults on Streamlined Framework

State-Level Digital Asset Licensing: What to Watch as We Head Into 2026

UK EMIR Update: Intragroup Exemption Consultations and Additional Q&As

FINRA Case Involving Gifts and Entertainment

State Regulators Announce Enforcement Priorities

SEC Chairman Prioritizes Public Offering Reforms; Trump Signals Renewed Scrutiny of Proxy Advisers

SEC Chairman Calls for a Fairer Wells Process: Reinforcing Due Process and Transparency in Enforcement

After the 43‑Day Shutdown: What CFTC Market Participants and Registered Entities Should Expect

Are You Using 'Finfluencers': Practical Guidance for CFTC-Registered Derivatives Intermediaries and Exchanges

Court Dismisses Overly-Technical Claim That FDCPA Applies to Communications With Vendors Mailing Collection Letters

Keeping it Short: FCA Consults on Implementation of Streamlined UK Short Selling Regime

Regulatory Compliance in Leveraged ETF Sales Practices

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