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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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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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The Commodity Futures Trading Commission (CFTC) continues to defend its jurisdictional turf. The CFTC filed a federal lawsuit against 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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The fight over whether prediction markets belong in federal or state court continues to intensify. In the span of two days last week,...
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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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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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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...
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“It is the part of a wise man to keep himself today for tomorrow and not venture all his eggs in one basket.” Miguel de Cervantes, Don...
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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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Responding to concerns raised and longstanding debates over how the Financial Industry Regulatory Authority’s (FINRA) arbitration forum...