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The Division of Data (DOD) of the Commodity Futures Trading Commission (CFTC or the Commission) published updated post-initial...
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Seeking to ensure that designated contract markets (DCMs) and swap execution facilities (SEFs) adequately incorporate an independent...
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On 20 December 2023, the Financial Conduct Authority (FCA) published a statement (Statement) providing an update on the ancillary...
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On 4 December 2023, the Financial Conduct Authority (FCA) published a consultation paper (CP23/27) on reforming the UK commodity...
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On 18 December 2023, the Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) (together, the Regulators) published...
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After two years of examining carbon markets, the Commodity Futures Trading Commission (CFTC) proposed measures focused on improving...
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On October 16, the Securities and Exchange Commission's (SEC) Division of Examinations (Division) published its examination priorities...
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A recent DC Circuit Court of Appeals challenge to a FINRA enforcement action brings into question whether FINRA should be held...
I wrote an article last month chronicling the rightwing-led backlash to ESG. Pouring corporate resources into ESG, the theory goes,...
Among US financial regulators, the Joint Audit Committee speaks softly; but, for futures commission merchants that are clearing members...