SEC's Second Podcast Spotlights a 'Spring Cleaning' of Corporate Disclosure
On May 12, the Securities and Exchange Commission (SEC) released the second episode of its podcast, Material Matters, with Chairman Paul...
After 12 Enforcement Actions and 9 No-Action Letters, CFTC Staff Effectively Repeals the Pre-Trade Mid-Market Mark Disclosure Requirement
The Commodity Futures Trading Commission's (CFTC or Commission) Market Participants Division (MPD) issued Letter 25-09, which effectively...
CFTC Withdraws Pair of Advisories on Heightened Review Approach to Digital Asset Derivatives
On March 28, the staff of the Commodity Futures Trading Commission (CFTC) issued two press releases announcing the withdrawal of two...
Alpine v. FINRA Big News
On November 22, the US Court of Appeals for the District of Columbia Circuit granted Alpine a preliminary injunction, ruling that the...
FinCEN AML Alert: SEC Investment Advisers Again in Focus
On February 13, the US Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) proposed to expand anti-money...
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