For over twenty months, the U.S. Securities and Exchange Commission (SEC) has steadily announced settled orders against broker-dealers and investment advisers for failure to retain business-related communication.

On 24 September 2025, the California Air Resources Board (CARB) posted a preliminary list of companies that it believes may be reporting or covered entities under California's Climate Corporate Data Accountability Act (SB 253) and Climate-Related Financial Risk Act (SB 261).

At the Conference On Emerging Trends In Asset Management sponsored by the US Securities and Exchange Commission (SEC) and held 19 May 2023, Chair Gary Gensler, and Director of the SEC's...

On 31 January 2025, the Texas Stock Exchange LLC (TXSE) filed a registration statement with the US Securities and Exchange Commission (SEC) to operate as a fully electronic, national securities exchange.

The SEC's latest regulatory agenda has officially been unveiled, and according to Chair Atkins the "regulatory agenda reflects that it is a new day" at the SEC.

On 15 April 2024, Cboe BZX Exchange, Inc. (Cboe) filed an application pursuant to Rule 19b-4 under the Securities Exchange Act of 1934, as amended, with the Securities and Exchange Commission (SEC).

California legislators are advancing the proposed Private Equity Sunshine Act (SB 1319) amending the California Public Records Act to require expanded disclosure by California public investment funds, including...

Our firm has a pro bono client who lost thousands of dollars trusting someone she met online. Over two years, the fraudster convinced her to move her funds to a US “bank” that would help her pay for her daughter’s expensive hospital stays.

On 2 August 2024, the Federal Energy Regulatory Commission (FERC) announced that it will convene a Commissioner-led technical conference in Docket No. AD24-11-000 to discuss emerging issues related.

The US Commodity Futures Trading Commission has launched an aggressive campaign to assert exclusive jurisdiction over prediction markets, where event contracts are traded.

The SEC has proposed rescinding its 2010 pay-to-play rule that restricted political contributions by investment advisers and their employees to government officials. After nearly sixteen years of enforcement, the Commission now characterizes the rule as having "significant unintended consequences" with draconian penalties for minor violations, proposing instead to rely on existing antifraud provisions to address pay-to-play practices.

On July 26, 2023, the Commodity Futures Trading Commission ("CFTC") proposed an amendment ("Proposal") to, among other things, expand the universe of eligible collateral for the

If you or your company trades on CME, CBOT, NYMEX or COMEX (CME Group exchanges, collectively referred to herein as "CME")...

On 29 May 2025 the House Financial Services Committee (HFSC) and the House Agriculture Committee (Ag)...

Two proposals regarding oversight of the control of banks by asset managers were withdrawn at the 25 April board meeting of the Federal Deposit Insurance Corporation (FDIC).

On 12 September 2024, the Commodity Futures Trading Commission (CFTC) published a Final Rule impacting registered commodity pool operators (CPOs) and commodity trading advisors (CTAs) relying on the regulatory.

In a fireside chat at the ABA Futures & Derivatives Law Committee Winter Meeting on January 30th, Acting Chairman Caroline Pham shared her industry-friendly agenda...

For the past two decades, the Small Business Investment Company (SBIC) program (the SBIC Program) has primarily offered one type of government-guaranteed loan...

On 29 May 2025, the SEC's Division of Corporation Finance (the Division) issued a guidance statement (Statement) related to certain protocol staking activities.

The Consumer Financial Protection Bureau (CFPB or Bureau) released a new report spotlighting common consumer complaints for credit card rewards programs.