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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...
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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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On Wednesday, December 17, the SEC’s Division of Trading and Markets (Division) issued a helpful statement (the Statement) to clarify its...
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On December 16, the Securities and Exchange Commission (SEC) published a risk alert on the adviser marketing rule. This is the first...
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Earlier this year, the US Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) adopted rules imposing anti-money...
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On May 16, 2024, the Securities and Exchange Commission (SEC) unanimously approved amendments to Regulation S-P, which imposes new rules...