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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 +1 more...

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...

4/21/2026 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 +1 more...

The fight over whether prediction markets belong in federal or state court continues to intensify. In the span of two days last week,...

4/9/2026 9:06:54 PM

It's DSRO Exam Time for FCMs: Be Letter 25-38 Prepared!

By Stephen Morris Nathaniel Lalone

For futures commission merchants (FCMs) that are clearing members of the Chicago Mercantile Exchange, it’s that time of year: Time for...

4/1/2026 3:14:56 PM

SEC Hits Pause on Cboe's New Disruptive Trading Rule

By Christian Kemnitz Peter Wilson Zachary Schmitz +2 more...

In a somewhat unusual step, the Securities and Exchange Commission (SEC) paused the effort by the Chicago Board Options Exchange (Cboe)...

3/13/2026 9:23:36 PM

Common Ground: The SEC and CFTC Enter Historic Memorandum of Understanding Aimed at Harmonizing Regulatory Interests

By Zachary Schmitz Carl Kennedy Michael Didiuk +4 more...

Regulatory silos are coming down. In what marks the third joint announcement by the two primary US financial regulatory agencies in less...

3/12/2026 10:16:14 PM

Game Changer: CFTC Clarifies Sports Contracts Listing Standards and Seeks Input on Event Contracts More Generally

By Carl Kennedy Dan Davis Alexa Warner +2 more...

The Commodity Futures Trading Commission (CFTC or Commission) made waves on March 12 with two pivotal releases intended to shape the...

2/26/2026 3:38:29 PM

Know the Outcome? Don't Trade: CFTC Puts Prediction Markets on Notice

By Zachary Schmitz Carl Kennedy Matt Kluchenek +1 more...

In an unusual move, the Commodity Futures Trading Commission’s (CFTC or Commission) Division of Enforcement (Division) issued an advisory...

2/9/2026 3:13:35 PM

SDNY US Attorney Clayton Cautions Enforcement Activity Could Be Coming to Prediction Markets

By Carl Kennedy

Prediction markets have drawn increased attention from both market participants and regulatory bodies, as trading volumes on these...

12/19/2025 10:02:02 PM

SEC Staff Issues Helpful Guidance on Custodying Digital Asset Securities and Complying with the Customer Protection Rule

By Wayne M. Aaron Michael Didiuk

On Wednesday, December 17, the SEC’s Division of Trading and Markets (Division) issued a helpful statement (the Statement) to clarify its...

12/2/2025 11:26:44 PM

All’s Well That Ends Well: The CFTC Amends Its Wells Notice Process and Other Rules of Practice for the Better

By Carl Kennedy Matt Kluchenek Zachary Schmitz

For years, the Commodity Futures Trading Commission (CFTC or Commission) has exercised broad discretion in investigating and prosecuting...

11/6/2025 3:53:35 PM

Are You Using 'Finfluencers': Practical Guidance for CFTC-Registered Derivatives Intermediaries and Exchanges

By Carl Kennedy

Retail participation in futures, forex and swaps has accelerated markedly in recent years, propelled by low-cost access, mobile platforms...

10/1/2025 2:31:42 PM

Breaking Barriers: SEC-CFTC Host Historic Harmonization Roundtable

By Carl Kennedy Michael Didiuk Lori Jacobs

In what the agencies are touting as “a new era of collaboration” and “a new day for US capital markets,” the Securities and Exchange...

9/19/2025 3:53:26 PM

Setting the (Generic) Standard: SEC Clears the Path for Listing Commodity-Based and Crypto ETPs

By James Brady Michael Didiuk Nicholas Gervasi

The Securities and Exchange Commission (SEC) approved proposed rule changes by multiple exchanges to adopt generic listing standards for...

9/2/2025 3:05:36 PM

Setting the Record Straight: CFTC Staff Reaffirm the Commission’s FBOT Framework, Providing Clarity to Non-US Exchanges

By Carl Kennedy Dan Davis Christopher Collins +2 more...

Amid “recent confusion and disruption regarding whether non-US exchanges should register [with the Commodity Futures Trading Commission...

8/7/2025 4:02:37 PM

Hitting the Snooze Button: CFTC Staff Issues Relief Intended to Reduce Burdens of Swap Data Notification Requirements

By Carl Kennedy

Staff from the Commodity Futures Trading Commission’s (CFTC) Division of Market Oversight issued No-Action Relief Letter 25-25 on July...

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CME Group Clarifies Application of Rule 575 to Pro Rata Markets

Doubling Down: CFTC Sues New York and Files Amicus in Massachusetts in Support of Prediction Markets

Kalshi Makes Its Case for Federal Court as Ninth Circuit Hearing Tees Up Potential Supreme Court Review

It's DSRO Exam Time for FCMs: Be Letter 25-38 Prepared!

SEC Hits Pause on Cboe's New Disruptive Trading Rule

Common Ground: The SEC and CFTC Enter Historic Memorandum of Understanding Aimed at Harmonizing Regulatory Interests

Game Changer: CFTC Clarifies Sports Contracts Listing Standards and Seeks Input on Event Contracts More Generally

Know the Outcome? Don't Trade: CFTC Puts Prediction Markets on Notice

SDNY US Attorney Clayton Cautions Enforcement Activity Could Be Coming to Prediction Markets

SEC Staff Issues Helpful Guidance on Custodying Digital Asset Securities and Complying with the Customer Protection Rule

All’s Well That Ends Well: The CFTC Amends Its Wells Notice Process and Other Rules of Practice for the Better

Are You Using 'Finfluencers': Practical Guidance for CFTC-Registered Derivatives Intermediaries and Exchanges

Breaking Barriers: SEC-CFTC Host Historic Harmonization Roundtable

Setting the (Generic) Standard: SEC Clears the Path for Listing Commodity-Based and Crypto ETPs

Setting the Record Straight: CFTC Staff Reaffirm the Commission’s FBOT Framework, Providing Clarity to Non-US Exchanges

Hitting the Snooze Button: CFTC Staff Issues Relief Intended to Reduce Burdens of Swap Data Notification Requirements

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