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
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
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
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
On March 17, 2026, the U.S. Securities and Exchange Commission issued an interpretive release addressing the application of the federal securities laws to crypto assets and related transactions.
Continue Reading SEC Clarifies Status of Crypto Assets Under Federal Securities Laws, Signals Potential Exemptive and Safe Harbor Framework
The U.S. Securities and Exchange Commission recognized that processing delays associated with the unusually large number of Form ID applications being submitted due to the Holding Foreign Insiders Accountable Act may contribute to FPIs failing to meet the March 18, 2026, deadline to comply with such Section 16(a) reporting requirements.
Continue Reading SEC Issues Extension for Compliance with Section 16(a)