United States: Commodities/Derivatives/Stock Exchanges

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Finance law and banking law thought leadership, articles, podcasts, videos and webinars from expert sources across the legal world. Explore insights covering topics such as capital adequacy, BASEL, acquisition finance, debt capital markets, fund finance, islamic finance, securitization and structured finance.

Refereeing The Fine Print: CFTC Staff's Advice For FCMs And IBs On Navigating The Quickly Evolving Sports Event Contract Market

Sports-related event contracts have expanded rapidly, but their legal footing remains unsettled.[1] These contracts currently trade on designated contract markets (DCMs).

United States Finance

KM

Katten Muchin Rosenman LLP

Regulatory Compliance In Leveraged ETF Sales Practices

The Wall Street Journal reported last week that "Popular Leveraged Funds Shock Investors With Huge Losses." It is important to understand how to offer such instruments consistent with regulatory expectations.

United States Finance

KM

Katten Muchin Rosenman LLP

Long & Winding Road: New CFTC Chair

Former Commodity Futures Trading Commission (CFTC) Commissioner Brian Quintenz was nominated to be the CFTC Chair in February 2025.

United States Finance

FL

Foley & Lardner

Dark Patterns Leading To The Dark Forest – The Next Frontier Of Crypto Enforcement?

Over the past several months, there has been a sea change in terms of the regulatory approach to blockchain and digital assets in the United States.

United States Technology

CG

Cahill Gordon & Reindel LLP

NFA Repeals NFA Interpretive Notice 9073 And Amends NFA Compliance Rule 2-51

United States Finance

AG

Akin Gump Strauss Hauer & Feld LLP

Revisiting Public Disclosure Frequency: SEC Considers Semi-Annual Reporting Regime

United States Commercial

CW

Cadwalader, Wickersham & Taft LLP

Texas Stock Exchange (TXSE): A New Opportunity For Canadian Issuers

United States Commercial

CO

Cozen O'Connor

Bipartisan AG Coalition Secures Shiny Win In Precious Metals Fraud Case

United States Finance

CO

Cozen O'Connor

Clear Skies Ahead? Predicting The Use Of The Floor Trader Exemption In Event Contract Markets To Avoid Swap Dealer Registration

United States Finance

KM

Katten Muchin Rosenman LLP

NFA Updates Digital Asset Obligations

United States Finance

KG

K&L Gates LLP

Navigating New Regulatory Harmonization Efforts Between The SEC And CFTC

United States Finance

AM

Alvarez & Marsal

WMHW Alert: SEC Enforcement Trends In The First Six Months

United States Commercial

Walden Macht Haran & Williams LLP

What Happens In Nevada … May Impact Prediction Markets And Sports Gambling Across The U.S.

United States Media & IT

MP

Manatt, Phelps & Phillips LLP

If It's Broken, Please Fix It: The CFTC Proposes To Resolve Compliance Challenges For Swap Dealers

United States Finance

KM

Katten Muchin Rosenman LLP

From Conflict To Clarity: Why The ADR Experience Matters In Successful Resolution

United States Litigation

J

JAMS

California Privacy Violations Result In $1.35 Million Fine!

United States Privacy

KM

Klein Moynihan Turco LLP

Why Direct Student-Athlete Payments Create An Immigration Crisis For Universities

United States Immigration

Gs

Green and Spiegel

California Air Resources Board Publishes Draft SB 261 Guidance

United States Commercial

RG

Ropes & Gray LLP

One Size Doesn't Fit All: Customizing Dispute Resolution For Commercial Contracts

United States Litigation

J

JAMS

Texas Stock Exchange (TXSE) Approved As Newest National Securities Exchange

On September 30, 2025, the U.S. Securities and Exchange Commission (SEC) approved the application of the Texas Stock Exchange LLC (TXSE)...

United States Commercial

CO

Cozen O'Connor

Regulating Crypto-linked Exchange-traded Products (Podcast)

The speakers analyze the regulatory landscape in the U.S., UK, as well as in France and the wider EU market...

United States Technology

AO

A&O Shearman

CFTC Settles First Compliance-Related Charges With Swap Dealers, Futures Commission Merchants, And Intermediaries Under Acting Chairman Pham

On September 4, 2025, the Commodity Futures Trading Commission (CFTC) issued orders filing and settling compliance-related violations...

United States Finance

SJ

Steptoe LLP

From Enforcement To Empowerment: SEC Chairman Paul Atkins Charts A New Regulatory Approach For Digital Assets

Securities and Exchange Commission (SEC) Chairman Paul S. Atkins promoted a forward-looking regulatory agenda centered on innovation, market competitiveness, and long-term predictability...

United States Finance

KM

Katten Muchin Rosenman LLP

SEC Approves Texas Stock Exchange Registration, Marking A Milestone For National Exchanges In Texas

United States Commercial

GT

Greenberg Traurig, LLP

Crypto And Commodity-Based ETPs Poised To Boom Following SEC's Approval Of Generic Listing Standards

United States Technology

GP

Goodwin Procter LLP

Texas Stock Exchange Obtains SEC Approval

United States Commercial

FL

Foley & Lardner

CFTC Acting Chairman Pham Outlines A Technology‑Neutral Approach To Digital Assets And Agency Modernization

United States Finance

KM

Katten Muchin Rosenman LLP

Breaking Barriers: SEC-CFTC Host Historic Harmonization Roundtable

United States Finance

KM

Katten Muchin Rosenman LLP

Generic Listing Standards For Crypto And Commodity ETPs: What It Means And What's Next

United States Technology

D

Dechert

Blockchain And Digital Assets: September 2025 Trends

Worldwide Technology

C

Caldwell

CFTC Launches Tokenized Collateral And Stablecoins Initiative

United States Finance

SJ

Steptoe LLP

Investment Management & Funds Regulatory Update - September 2025

United States Finance

DP

Davis Polk & Wardwell

Trump Says Lisa D. Cook Was Properly Removed From Fed For Misconduct

United States Finance

BS

Ballard Spahr LLP

Blockchain And Digital Assets: September 2025 Trends

September 2025 continues to show accelerating institutional adoption in blockchain and digital assets, with financial firms increasingly integrating blockchain and AI solutions.

Worldwide Technology

C

Caldwell

CFTC Launches Tokenized Collateral And Stablecoins Initiative

On September 23, 2025, the CFTC launched a Tokenized Collateral and Stablecoins Initiative that invites interested stakeholders to submit feedback and suggestions on the use of tokenized...

United States Finance

SJ

Steptoe LLP

Investment Management & Funds Regulatory Update - September 2025

In this issue, we discuss, among other things, the further extension of the compliance date for Form PF amendments, and a recent enforcement action involving alleged violations...

United States Finance

DP

Davis Polk & Wardwell

Trump Says Lisa D. Cook Was Properly Removed From Fed For Misconduct

President Trump correctly removed Lisa D. Cook from the Federal Reserve Board for improperly claiming on mortgage applications that residences in Michigan and Georgia both were her primary residences...

United States Finance

BS

Ballard Spahr LLP

UK Financial Insights From Katten | Issue 26

United States Finance

KM

Katten Muchin Rosenman LLP

CFTC Withdraws Guidance On Listing Voluntary Carbon Credit Derivatives: What A Difference An Election Makes

The Commodity Futures Trading Commission (CFTC or Commission) announced September 10, 2025, that it is withdrawing its "Guidance Regarding the Listing of Voluntary...

United States Finance

B

Bracewell

Setting The (Generic) Standard: SEC Clears The Path For Listing Commodity-Based And Crypto ETPs

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

United States Technology

KM

Katten Muchin Rosenman LLP

Federal Reserve Rate Cut Prompts Demand For Derivative Hedging Solutions

The world, as we know it, is experiencing a series of geopolitical and economic pressures, from military and tariff wars to cultural and socioeconomic challenges.

United States Finance

GT

Greenberg Traurig, LLP

SEC And CFTC Joint Statement Clears Path For Certain Spot Crypto Products

On September 2, 2025, the staff of the Division of Trading and Markets at the Securities and Exchange Commission and the staff of the Division of Market Oversight and Division of Clearing and Risk at the Commodity Futures Trading Commission issued a joint statement.

United States Technology

D

Dechert

Private Equity Investment In The Defense Sector: Navigating A Transforming Landscape—podcast

United States Commercial

AO

A&O Shearman

Structure Of Tokenized Commodities And Commodities Regulation

United States Finance

CW

Cadwalader, Wickersham & Taft LLP

Financial Markets And Funds Quick Take | Issue 42

United States Finance

KM

Katten Muchin Rosenman LLP

Senators Release Updated Discussion Draft Of The "Responsible Financial Innovation Act Of 2025"

United States Finance

JD

Jones Day

Illinois Enacts Crypto Law: What Does It Mean For The Industry?

United States Technology

FL

Foley & Lardner

CFTC Withdraws Guidance On Voluntary Carbon Credit Derivatives

United States Finance

BD

Beveridge & Diamond

Stablecoins Part 2: The Clarity Act Explained (Podcast)

United States Technology

KD

Kelley Drye & Warren LLP

Derivatives 2025 – Global Overview

United States Finance

KM

Katten Muchin Rosenman LLP

Arnold & Porter Discusses The CLARITY Act

United States Finance

AP

Arnold & Porter

Why Can't We Be Friends? The SEC And CFTC Vow More Cooperation

United States Finance

JD

Jones Day

Illinois Enacts Its Own Digital Assets Laws

United States Technology

KG

K&L Gates LLP

Defining (Again) The Scope Of "Commodity"

United States Finance

CW

Cadwalader, Wickersham & Taft LLP

SEC And CFTC Staff Clear Path For Spot Crypto Trading On Regulated Exchanges

United States Technology

AO

A&O Shearman

CFTC Issues Advisory To Clarify FBOT Registration Framework For Non-U.S. Crypto Exchanges To Access U.S.-based Participants

United States Finance

JD

Jones Day

Illinois Adopts Regulatory Regime For Digital Assets

United States Finance

MB

Mayer Brown

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Latest Videos

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Event Contracts: Financial Innovation Or Gambling Back Door? (Video)

G

Gamma Law

Dan Davis Shares Views On Digital Asset Regulation During House Subcommittee Hearing (Video)

KM

Katten Muchin Rosenman LLP

Mining In Focus: Latin America (Video)

GW

Gowling WLG

Current Issues In Derivatives (Video)

SM

Sheppard Mullin Richter & Hampton

Fall Blockchain Update Two: Kraken Fine (Video)

PC

Pryor Cashman LLP

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