This rule harmonizes recordkeeping requirements for those firms regulated by both the CFTC and SEC.
The highest level of timeliness is expected in connection with a firm’s response to a production request by the CFTC.
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CFTC ends gag rule
The change comes a few weeks after the SEC ended its own “no-deny” policy.
Alexander Barzacanos2 min read
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GRIP Extra: SCOTUS affirms SEC disgorgement power, EU unveils tech sovereignty package
Our in-brief roundup of notable stories from the last week.
GRIP3 min read
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Second prediction market insider trading case targets Google employee
A Google software engineer allegedly used confidential search data to make around $1.2m on “near-perfect” search term predictions.
Alexander Barzacanos2 min read
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GRIP Extra: Bank of Canada issues stability report, CFTC clears way for perpetual contracts
Our in-brief roundup of notable stories from the last week.
GRIP3 min read
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SEC and CFTC propose major Form PF relief for private fund advisers
Firms, however, must maintain strict adherence to existing requirements until these changes are officially adopted.
Janaya Moscony | SEC31 min read
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GRIP Extra: FDIC proposes stablecoin AML/CFT rules, MiCA undergoes first review
Our in-brief roundup of notable stories from the last week.
GRIP3 min read
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CFTC issues new enforcement cooperation policy
The advisory gives market participants even more opportunity for full enforcement declinations.
Alexander Barzacanos1 min read
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SEC ends gag rule
For more than 50 years, the rule prohibited settling defendants from publicly denying the SEC’s claims.
Alexander Barzacanos2 min read
Further Reading
