News and Publications

Summer Reading – Digit Asset Developments

July 1, 2024

Approx. 10-page write up on digital asset regulatory and case law developments

Weekend Reading / Client Note

March 2, 2024

Is This Crypto’s Regulatory Spring? and A Brief Survey of the CFTC’s Market Structure Reforms

Client Note

February 6, 2024

Advising Individuals Navigating Government Inquiries and Regulatory Investigations

Client Note

January 30, 2024

Key Issues and Themes from the ABA Derivatives & Futures Law Committee Winter Meeting (Naples, Florida)

Client Resource

January 4, 2024

Key Issues for a Trade Conduct Policy

Client Note

December 19, 2023

CFTC and DOJ Settle Fraud Based Misappropriation and FCPA Charges Against Commodities Trading Firm for $98 Million (LinkedIn Article)

Client Note

December 19, 2023

CFTC Continues to Evaluate Vertical Integration and Direct-To-User Trading and Clearing Models (LinkedIn Article)

Weekend Reading

December 8, 2023

SEC and CFTC updates, SEC Chairman Gensler’s comments on AI, CFTC proposal for carbon credit derivatives, several U.S. and global digital asset developments, and a deeper look at the Binance settlements

Client Note

December 4, 2023

Summary for Clients – CFTC Proposed Guidance Regarding the Listing of Voluntary Carbon Credit Derivative Contracts

Weekend Reading

October 20, 2023

SEC 2024 Exam Priorities; Short Selling Rules; CFTC Enforcement Advisory; CFTC Swap Block Size No-Action; Several Major Digital Asset Regulatory Developments (California; FDIC Inspector General Crypto Report; UK Fin Prom Rules; EU MiCA Timelines; FinCENProposal in Mixers)

Weekend Reading

October 6, 2023

SEC v Ripple Labs update; CFTC Rule 4.7 Proposal; CFTC Enforcement Fines for Swap Dealers; Highlights from CFTC Chair Behnam Speech at FIA Expo

Weekend Reading

September 29, 2023

SEC and CFTC Fiscal Year End Enforcement Announcements; SEC Data Unit Generates Insider Trading Charges; CFTC “Insider Trading” Developments; Elements of a Good CFTC Whistleblower Tip; Financial Firms Pursuing Challenges to Broad Agency Enforcement Efforts

Weekend Reading

September 22, 2023

UK FCA Crypto Warning, CFTC Disapproves Political Events Contracts, SEC Broker Dealer Settlements, CFTC Loses Fraud By Deceptive Device Charges for ETF and Custom Basket Swaps Based on Lack of Jurisdiction

Note to Clients (download PDF version)

September 18, 2023

New York Department of Financial Services Updates Greenlist Guidance and Removes More Than 20 Coins from its Greenlist

Also Issues Proposed Updates to Guidance for Licensed Entities Regarding Listing and De-Listing of Virtual Currencies, Comments Due October 20, 2023