Article
02 Jul 2026
CFTC and SEC Seek Comment on Drawing Clearer Lines Between "Swaps" and "Security-Based Swaps" and on "Alternative Compliance"
AUTHORS CONTENT
Article
26 Jun 2026
CFTC Seeks Public Comment On Energy Market 24/7 Trading And Perpetual Contracts
Article
18 Jun 2026
Supreme Court Clarifies Scope Of SEC Disgorgement—But Key Questions Remain For Enforcement Targets
Article
27 May 2026
SEC Rescinds Long-Standing “No-Deny” Policy For Settlements
Article
01 May 2026
Chain Reaction - May 2026
Article
23 Apr 2026
CFTC Brings First Of Its Kind Insider Trading Action Against Prediction Market Trader For Maduro-Related Event Contracts Trading
Article
02 Apr 2026
The Law Of War - Legal Implications Of The Iran Conflict: Oil And Gas Trading
Article
01 Apr 2026
CFTC Settlement In Singh Matter Highlights Cooperation Credit And Aiding-and-Abetting Claims
Article
30 Mar 2026
SEC And CFTC Issue Interpretive Guidance Establishing Crypto Asset Classification Framework
Article
06 Mar 2026
SEC Overhauls Enforcement Manual: What Investigated Entities Need To Know
Article
19 Jan 2026
Commodity Futures Trading Commission ("CFTC") Seeks To Expand Hedging Options For Energy End-Users
Article
07 Mar 2025
CFTC Issues Enforcement Advisory Adopting New Approach For Consideration Of Self-Reporting, Cooperation, And Remediation
Article
10 Oct 2024
CFTC, SEC, And SDNY Break New Ground And File Charges Against Carbon Credit Project Developer And Former Executives For Fraud Related To Voluntary Carbon Credits
Article
01 Oct 2024
CFTC Approves Guidance On Voluntary Carbon Credit Derivative Listings
Article
12 Apr 2023
SEC Publishes Risk Alert Relating To Examinations Of Newly-Registered Investment Advisers
Article
16 Mar 2023
CFTC Energy And Environmental Markets Advisory Committee Addresses Electrification And The Future Of Financial Transmission Rights Oversight
Article
10 Mar 2023
Commissioner Proposes Increasing CFTC Enforcement Resources To Combat Greenwashing And Other Forms Of Environmental Market Fraud
Article
27 Feb 2023
SEC Releases 2023 Examination Priorities
Article
27 Feb 2023
The SEC Alerts Advisers And Brokers To Key Identity Theft Prevention And Regulation Best Interest Compliance Issues
Article
03 Nov 2022
SEC Charges Broker Dealers & Affiliated Investment Adviser With Widespread Recordkeeping Failures