News from the economy, politics and the financial markets
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Dual Registrant Regulatory Roundup - September 2025
Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the previous month that are of interest to retail broker-dealer and investment adviser firms....By: Eversheds Sutherland (US) LLP
BoE Publishes Discussion Paper on Enhancing the Resilience of the UK Gilt Repo Market
The Bank of England has published a discussion paper (DP) setting out potential measures to enhance the resilience of the UK gilt repo market and support broader financial stability. Developed in consultation with the UK Financial Conduct Authority and informed by input from HM Treasury and the UK Debt Management Office, the DP reflects on insights from the Bank's System-wide Exploratory Scenario and considers international developments, most notably in the U.S., where the Securities and...By: A&O Shearman
SEC Launches Cross-Border Task Force to Target Fraud Involving Foreign-Based Companies
What auditors and underwriters should know - The Securities and Exchange Commission (SEC) has launched a Cross-Border Task Force to investigate fraud involving foreign-based companies, with a focus on market manipulation schemes like “ramp-and-dumps” and misconduct by gatekeepers – including auditors and underwriters – whose role in enabling access to US capital markets has been a focus of SEC scrutiny....By: DLA Piper
EBA Extends Consultation Deadline for Draft Guidelines on Credit Conversion Factors
The European Banking Authority has announced an extension to the consultation deadline for its draft guidelines on credit conversion factor estimations (EBA/CP/2025/10) under the Capital Requirements Regulation (CRR), as amended by the revised Capital Requirements Regulation (CRR III)....By: A&O Shearman
Fifth Circuit Remands SEC Securities Lending and Short Sale Rules for Further Economic Analysis
On August 25, 2025, the United States Court of Appeals for the Fifth Circuit issued an opinion in National Association of Private Fund Managers v. SEC addressing Securities and Exchange Commission (SEC or the “Commission”) Rule 10c-1a under the Securities Exchange Act of 1934, or the Securities Lending Reporting Rule, and Rule 13f-2 under the Exchange Act, or the Short Position Reporting Rule....By: Mayer Brown Free Writings + Perspectives
Ninth Circuit Clarifies SEC Disgorgement Standard, Aligning with the First and Fifth Circuits and Disagreeing with the Second Circuit
In SEC v. Sripetch, No. 24-3830, 2025 WL 2525848 (9th Cir. Sept. 3, 2025), the United States Court of Appeals for the Ninth Circuit affirmed a $2.25 million disgorgement award obtained by the United States Securities and Exchange Commission (“SEC”) in an enforcement action, rejecting the argument that the SEC must prove pecuniary harm to investors before obtaining disgorgement under 15 U.S.C. §§ 78u(d)(5) and (d)(7)....By: Sheppard Mullin Richter & Hampton LLP
Cooperation Agreements, RSAs and MNPI Risk
Two recent SEC enforcement actions illustrate how participating in ad hoc creditor groups can expose lenders to material nonpublic information (MNPI), thereby creating risks in trading. Loan market participants should avoid construing these actions too narrowly. Lenders who participate in cooperation agreements and restructuring support agreements face similar MNPI risks and should implement appropriate policies and procedures to mitigate those risks....By: Orrick, Herrington & Sutcliffe LLP
[Podcast] Expanding Access to Alternative Investments in ERISA Plans—Litigation Risks and Practical Considerations
On this Ropes & Gray podcast, ERISA and benefits partner Sharon Remmer is joined by litigation & enforcement partners, Amy Roy and Dan Ward, to discuss President Trump’s recent Executive Order that directs the U.S. Department of Labor and other federal agencies to expand access to alternative assets for 401(k) investors and what the potential ramifications could be for retirement plan sponsors and asset managers from a litigation risk perspective. We have been closely monitoring the significant...By: Ropes & Gray LLP
RegFi Episode 72: A Whole-of-Ecosystem Approach to Fraud Prevention
Fraud and scams are costing Americans an estimated $400 million every day, threatening household financial security and fueling transnational crime. Kate Griffin and Nick Bourke join RegFi co-hosts Jerry Buckley and Sherry Safchuk to discuss the work of the Aspen Institute’s National Task Force on Fraud and Scam Prevention. The conversation examines the scale and sophistication of today’s scams, the whole-of-ecosystem approach needed to disrupt them and the Task Force’s forthcoming...By: Orrick, Herrington & Sutcliffe LLP
Digital disputes on the rise: international arbitration at the forefront?
The worldwide digital assets market is projected to generate revenue of $100.2 billion by 2025 and grow annually by 9.94%....By: Hogan Lovells
President Trump signs Homebuyers Privacy Protection Act, restricting mortgage trigger leads
On September 5, President Trump signed the Homebuyers Privacy Protection Act (HPPA) into law, amending the FCRA to restrict the use of “trigger leads” in residential mortgage lending....By: Orrick, Herrington & Sutcliffe LLP
Investment Management Update - Q2 2025
As of April 22, 2025, the Securities and Exchange Commission (SEC) is extending the effective date for the amendments to Form N-PORT, adopted on August 28, 2024, from November 17, 2025, to November 17, 2027. The SEC also is extending the effective date of the amendments to the rule under the Investment Company Act of 1940 associated with Form N-PORT reporting requirements. In addition, the SEC is extending the compliance dates for these amendments related to Form N-PORT reporting requirements....By: Troutman Pepper Locke
AI Fraud Detection and Forensic Accounting: Embracing Innovation to Combat Financial Crime
In today’s rapidly evolving digital landscape, fraud and financial crime have become increasingly complex and create pervasive issues for organizations of all sizes and specialties....By: J.S. Held
HUD updates interest rates for FHA-insured debentures
On September 9, HUD issued a notice announcing revised interest rates for debentures issued in connection with loans or mortgages insured by the FHA under the National Housing Act....By: Orrick, Herrington & Sutcliffe LLP
SEC and CFTC announce joint effort to harmonize crypto and market regulation
On September 5, the SEC and CFTC issued a joint statement outlining new regulatory coordination as the markets for securities and non-securities become increasingly intertwined. SEC Chair Paul Atkins and CFTC Acting Chair Caroline Pham emphasized that “harmonization” between market regulators was essential to the development of “innovative products,” and announced a joint SEC-CFTC roundtable on regulatory harmonization to be held on September 29....By: Orrick, Herrington & Sutcliffe LLP
Arranging Deals in Investments - Revisited
The UK regulated activity of arranging deals in investments presents some difficult questions of interpretation. The courts have considered this activity on a number of occasions and generally endorse a broad approach to the types of ongoing involvement in a transaction that might amount to a regulated arrangement....By: Latham & Watkins LLP
Debt-relief company and owners file appeal after losing case to CFPB
On September 4, several losing defendants filed notice of their intent to appeal a recent ruling, found in favor of the CFPB, to the U.S. Appellate Court for the 7th Circuit. As previously covered by InfoBytes, the CFPB originally charged the defendants — a debt-relief company and its two owners — in 2020....By: Orrick, Herrington & Sutcliffe LLP
CFTC Issues Foreign Board of Trade Advisory to Provide Regulatory Clarity for Crypto Asset Trading on Non-US Exchanges
Recognizing the continued evolution of global derivatives markets that has resulted from technological innovation in the United States and abroad, the CFTC issued its FBOT Advisory to provide regulatory clarity with respect to the FBOT registration framework for non-U.S. entities that are legally organized and operate outside the United States that seek to provide members or participants physically located in the United States with direct market access to their futures and options trading...By: BakerHostetler
Nasdaq’s Bold Step Towards 24/7 Trading with Tokenized Securities
On September 8, Nasdaq took a significant step towards revolutionizing the trading landscape by filing with the SEC to enable trading of tokenized securities listed on its exchange starting in 2026. This move, if approved, will allow securities to be traded in both traditional and tokenized forms, leveraging blockchain technology to enhance market accessibility and efficiency....By: Troutman Pepper Locke
[Video] Compliance Tip of the Day - Addressing Abuse
Welcome to “Compliance Tip of the Day,” the podcast that brings you daily insights and practical advice on navigating the ever-evolving landscape of compliance and regulatory requirements. Whether you’re a seasoned compliance professional or just starting your journey, our goal is to provide you with bite-sized, actionable tips to help you stay ahead in your compliance efforts. Join us as we explore the latest industry trends, share best practices, and demystify complex compliance issues to keep...By: Thomas Fox - Compliance Evangelist
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