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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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Sometimes the best regulatory changes are the ones that make compliance officers smile — and maybe even leave the office before 7:00 p.m....
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In a candid fireside chat at the 2026 SIFMA Compliance and Legal Annual Conference, Securities and Exchange Commission (SEC or...
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In a move that would make even the most seasoned sports fans do a double-take, the Commodity Futures Trading Commission (CFTC or...
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Staff from the Market Participants Division (MPD) of the Commodity Futures Trading Commission (CFTC or Commission) issued No-Action...
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Expanding retail access to private markets and alternative investments is top of mind for the current administration and Congress. To...
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Regulatory silos are coming down. In what marks the third joint announcement by the two primary US financial regulatory agencies in less...
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The Commodity Futures Trading Commission (CFTC or Commission) made waves on March 12 with two pivotal releases intended to shape the...
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Responding to concerns raised and longstanding debates over how the Financial Industry Regulatory Authority’s (FINRA) arbitration forum...
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The Financial Industry Regulatory Authority (FINRA) announced changes to its enforcement program on March 2, as part of its broader...
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For the first time in nearly a decade, the Securities and Exchange Commission (SEC) updated its Enforcement Manual (Manual), which has...
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In an unusual move, the Commodity Futures Trading Commission’s (CFTC or Commission) Division of Enforcement (Division) issued an advisory...
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A new working paper from the Board of Governors of the Federal Reserve’s (Federal Reserve) Finance and Economics Discussion Series (FEDS)...
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The Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) (together, the Regulators) have published parallel...
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The Commodity Futures Trading Commission (CFTC or the Commission) is not waiting for the courts to sort out who regulates prediction...
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If you watched the Super Bowl this year, you might have noticed a surge of advertisements for prediction market contracts on the big...