On May 19, 2026, the CFTC’s Division of Enforcement replaced its 2025 tiered scoring matrix with a declination-first framework that imposes heightened self-reporting, cooperation, remediation, and restitution requirements on registrants seeking enforcement credit.
Continue Reading CFTC Division of Enforcement Issues New Cooperation Policy
A federal court vacated FinCEN’s Anti-Money Laundering Regulations for Residential Real Estate Transfers, finding FinCEN exceeded its statutory authority under the Bank Secrecy Act.
On May 1, 2026, the CFPB finalized a revised Section 1071 rule under ECOA, narrowing covered institutions, products, and required data points from the 2023 Rule, with a single compliance date of Jan. 1, 2028. Financial institutions may wish to begin assessing coverage status and compliance readiness.
Continue Reading CFPB Final Rule Narrows Small Business Lending Data Collection Requirements
On May 18, 2026, the SEC rescinded Rule 202.5(e), ending its decades-old prohibition on post-settlement public denials by settling parties. This shift removes a longstanding settlement friction point and may affect how companies and individuals approach SEC enforcement matters, public communications, and parallel litigation.
Continue Reading SEC Rescinds Longstanding ‘No-Deny’ Settlement Policy in Enforcement Actions
The SEC has raised the financial thresholds for “qualified client” status under the Investment Advisers Act, with new assets-under-management and net worth requirements taking effect June 29, 2026.
Continue Reading SEC Raises Threshold for ‘Qualified Client’ Status, Effective June 29, 2026
FinCEN published a proposed rule to reform anti-money laundering and countering the financing of terrorism program requirements for financial institutions under the Bank Secrecy Act.
Continue Reading FinCEN Proposes Reforms to AML/CFT Program Requirements
NYC advances proposed rules on subscription cancellations, expanding enforcement against negative option offers and outlining new disclosure and notice requirements.
Continue Reading NYC Proposes New Rules for Auto-Renewal Subscriptions
CFTC DoE Director David Miller highlighted prediction markets and crypto assets as perhaps the two most dynamic markets in finance during his March 2026 remarks at NYU Law School.
Continue Reading Prediction Markets: A CFTC Enforcement Update
On March 11, 2026, the Federal Trade Commission issued an Advance Notice of Proposed Rulemaking seeking public comment on whether it should amend its Rule Concerning the Use of Prenotification Negative Option Plans.
Continue Reading FTC Seeks Comment on Potential Updates to Negative Option Rule
Prediction markets are electronic trading platforms where participants buy and sell interests in future event outcomes, from elections to economic indicators. Prices reflect aggregate probability, with event contracts typically offering binary yes or no outcomes.
Continue Reading CFTC Regulatory Developments on Prediction Markets and Event Contracts