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 February 20, 2025, the Securities and Exchange Commission (SEC) announced the creation of a new specialized unit, the Cyber and Emerging Technologies Unit, to “focus on combatting cyber-related misconduct and to protect...more
On October 21, 2024, the Securities and Exchange Commission Division of Examinations published its examination priorities for fiscal year 2025.1 In this alert, we offer ten observations for broker-dealers. Our observations...more
10/31/2024
/ Artificial Intelligence ,
Broker-Dealer ,
Compliance ,
Cryptoassets ,
ETFs ,
Exchange-Traded Products ,
Financial Industry Regulatory Authority (FINRA) ,
Form CRS ,
Information Reports ,
Investment Adviser ,
Regulation BI ,
Regulation S-P ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Third-Party Service Provider
On June 6, 2024, the US Department of the Treasury (Treasury) issued a request for information (RFI) on the “uses, opportunities and risks of artificial intelligence (AI) in the financial services sector.” The RFI seeks...more
On March 18, 2024, the Securities and Exchange Commission (SEC or the Commission) announced settled charges against two investment advisers, Delphia (USA) Inc. and Global Predictions, Inc., for making false and misleading...more
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)