Coming off a busy 2024, we expect that 2025 will be a landmark year for the Commodity Futures Trading Commission (CFTC or Commission). Rostin Behnam’s resignation as Chairman on January 20 marked the end of the Biden...more
3/11/2025
/ Artificial Intelligence ,
Biden Administration ,
CFTC ,
Decentralized Finance (DeFi) ,
Derivatives ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
Executive Orders ,
Final Rules ,
Financial Institutions ,
Financial Markets ,
Proposed Rules ,
Regulatory Agenda ,
Trump Administration
On January 28, 2025, FINRA published its Annual Regulatory Oversight Report (the Report). The Report highlights emerging risk areas and recent developments, common compliance deficiencies, and best practices for member firms....more
2/19/2025
/ Annual Reports ,
Artificial Intelligence ,
Cybersecurity ,
Financial Crimes ,
Financial Industry Regulatory Authority (FINRA) ,
FinTech ,
Regulation Best Interest ,
Regulatory Requirements ,
Risk Management ,
Third-Party Risk ,
Third-Party Service Provider
On January 25, 2024, the Commodity Futures Trading Commission’s (CFTC) Staff issued a request for comment (RFC) on the current and potential uses and risks of artificial intelligence (AI) in the markets that the CFTC...more
On January 9, 2024, the Financial Industry Regulatory Authority published its 2024 FINRA Annual Regulatory Oversight Report. Previously titled Report on FINRA’s Examination and Risk Monitoring Program, the Report is released...more
1/18/2024
/ Artificial Intelligence ,
Best Execution ,
Broker-Dealer ,
Conflicts of Interest ,
Cryptoassets ,
Electronic Communications ,
Equity Securities ,
Financial Industry Regulatory Authority (FINRA) ,
Fixed Income Investments ,
Public Communications ,
Regulation Best Interest ,
Regulation BI ,
Regulation SHO ,
Regulatory Oversight ,
Retail Investors ,
Retail Sales ,
Securities and Exchange Commission (SEC)