A New Era: New CFTC Enforcement Director Outlines Updated Priorities and Cooperation Policy
Making clear that the era of “regulation by enforcement” is over, Commodity Futures Trading Commission (CFTC) Director of Enforcement...
SEC Hits Pause on Cboe's New Disruptive Trading Rule
In a somewhat unusual step, the Securities and Exchange Commission (SEC) paused the effort by the Chicago Board Options Exchange (Cboe)...
The CAT’s New Diet: SEC Approves CAT Cost Savings Amendment
The Securities and Exchange Commission (SEC) approved the joint industry proposal (Proposed Amendment), spearheaded by Consolidated Audit...
SEC Commissioner Peirce Addresses Industry at SIFMA's Compliance and Legal 2026 Annual Seminar
Securities and Exchange Commission (SEC or Commission) Commissioner Hester Peirce delivered wide-ranging remarks at SIFMA's Compliance...
FINRA President and CEO Robert Cook Provides Update on ‘FINRA Forward’ at the SIFMA Compliance & Legal 2026 Annual Conference
Financial Industry Regulatory Authority (FINRA) President and CEO Robert Cook spoke at the 2026 SIFMA Compliance & Legal Annual...
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