6/18/2026 6:22:43 PM Five Predictions for Tokenization in 2027 By Matt Kluchenek Dan Davis Michael Didiuk Carl Kennedy Adam Bolter +2 more... Show less At the recent Crypto with Katten symposium, co-sponsored with the Investment Advisers Association (IAA), Katten hosted a panel on “The...
6/17/2026 2:51:04 PM Supreme Court Rejects Implied Private Right of Action Under Section 47(b) of the Investment Company Act of 1940 By Kevin Broughel Sarah Eichenberger Michael Didiuk Adam Bolter Zoe Lo +2 more... Show less On June 11, the Supreme Court, in a 6-3 decision authored by Justice Amy Coney Barrett, joined by Justices John G. Roberts, Clarence...
6/10/2026 9:53:54 PM Cboe Defends Proposed Disruptive Trading Rule in Response to Industry Pushback By Christian Kemnitz Peter Wilson Zachary Schmitz Casey McClaren Jessica Gracik +2 more... Show less Following the SEC’s determination to seek public comments regarding Cboe’s proposed Rule 8.23 governing disruptive trading practices...
6/10/2026 8:43:44 PM CFTC Eliminates ‘No-Deny’ Settlement Policy By Christian Kemnitz Carl Kennedy Brian Poronsky Sam Bevenour Alexa Warner +2 more... Show less On June 3, 2026, the Commodity Futures Trading Commission (the CFTC or Commission) rescinded its longstanding policy requiring defendants...
6/4/2026 8:59:55 PM The Supreme Court Rejects Further Limits on SEC Disgorgement By Patrick Smith Richard Marshall Susan Light On June 4, 2026, in Sripetch v. SEC, No. 25–466, the Supreme Court unanimously held that the Securities and Exchange Commission (SEC)...
5/28/2026 11:16:00 PM Keeping Tabs: CFTC and DOJ Charge Software Engineer with Insider Trading for Prediction Market Trades By Christian Kemnitz Carl Kennedy Matt Kluchenek Brian Poronsky Zachary Schmitz +2 more... Show less Following on the heels of the highly publicized first criminal and civil case charging insider trading in prediction markets, the US...
5/22/2026 7:06:08 PM SCOTUS Rules Federal Courts Retain Jurisdiction in Post-Arbitration Proceedings: Implications for FINRA and NFA Arbitrations By Brian Poronsky Ben Levine Last week, the Supreme Court held that federal courts that compel arbitration and stay a case pending completion of that arbitration...
5/22/2026 5:54:02 PM Self-Reporting and Cooperation 3.0: CFTC Enforcement Division’s New Policy Offers a Clearer Path to Declination By Dan Davis Christian Kemnitz Carl Kennedy Matt Kluchenek Brian Poronsky Zachary Schmitz Mitchell Caminer Alexa Warner +5 more... Show less Building on recent public statements by Commodity Futures Trading Commission (CFTC or Commission) Enforcement Director David Miller,[1]...
5/22/2026 2:34:24 PM Breaking New Ground: SEC and NFA Sign First-Ever Memorandum of Understanding By Carl Kennedy Alex Kim Michael Didiuk Matt Kluchenek +1 more... Show less The Securities and Exchange Commission (SEC) and the National Futures Association (NFA) announced an unprecedented step in regulatory...
5/19/2026 6:22:02 PM A Major Change in SEC Enforcement Settlements: SEC Rescinds ‘No-Deny’ Policy By Susan Light Wayne M. Aaron Michael Diver Christian Kemnitz Michael Lohnes Richard Marshall +3 more... Show less On May 18, 2026, the Securities and Exchange Commission (SEC) announced that it had rescinded its longstanding “no-deny” (gag) settlement...
5/14/2026 9:17:17 PM SEC's Second Podcast Spotlights a 'Spring Cleaning' of Corporate Disclosure By Carl Kennedy Michael Didiuk Adam Bolter Lori Jacobs Alexa Warner +2 more... Show less On May 12, the Securities and Exchange Commission (SEC) released the second episode of its podcast, Material Matters, with Chairman Paul...
5/8/2026 5:51:14 PM SEC Adopts Inflation-Based Adjustment to 'Qualified Client' Thresholds for Performance Fees By Michael Didiuk Alexa Warner Adam Bolter On April 28, 2026, the Securities and Exchange Commission (SEC) issued a final order adjusting for inflation the dollar amount thresholds...
5/5/2026 2:55:56 PM CME Group Clarifies Application of Rule 575 to Pro Rata Markets By Peter Wilson Zachary Schmitz Christian Kemnitz Matt Kluchenek +1 more... Show less More than a decade after targeting disruptive trading practices by implementing Rule 575, CME Group (CME) continues to fine-tune its...
4/28/2026 1:49:54 PM Doubling Down: CFTC Sues New York and Files Amicus in Massachusetts in Support of Prediction Markets By Zachary Schmitz Carl Kennedy The Commodity Futures Trading Commission (CFTC) continues to defend its jurisdictional turf. The CFTC filed a federal lawsuit against the...
4/23/2026 7:04:17 PM Navigating the Future of US Options Markets: Takeaways From the SEC Roundtable By Zachary Schmitz Alexa Warner Casey McClaren Jessica Gracik Peter Wilson +2 more... Show less The US options market is booming, but is its regulatory framework keeping pace? On April 16, the Securities and Exchange Commission (SEC)...
4/21/2026 10:37:00 PM Kalshi Makes Its Case for Federal Court as Ninth Circuit Hearing Tees Up Potential Supreme Court Review By Carl Kennedy Zachary Schmitz Alexa Warner Alex Kim +1 more... Show less The fight over whether prediction markets belong in federal or state court continues to intensify. In the span of two days last week,...