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NFA Seeks to Ease Member Requirements Regarding Annual Questionnaire Filings and Branch Office Supervision
The National Futures Association (NFA) submitted two new proposals to the Commodity Futures Trading Commission (CFTC or the Commission) on June 1, 2026, which will affect NFA Member firms across multiple registration categories. The first proposal addresses who may review, sign, and submit the NFA Member Questionnaire under Compliance Rule 2-52. The second proposal updates the branch office supervision framework under Interpretive Notice 9002. Both proposals were unanimously approved by NFA’s...By: Katten Muchin Rosenman LLP
[Video] Daily Compliance News: June 8, 2026, The Manipulative Creep Edition
Welcome to the Daily Compliance News. Each day, Tom Fox, the Voice of Compliance, brings you compliance-related stories to start your day. Sit back, enjoy a cup of morning coffee, and listen in to the Daily Compliance News. All, from the Compliance Podcast Network. Each day, we consider four stories from the business world, compliance, ethics, risk management, leadership, or general interest for the compliance professional. Top stories include: • Hungary to unveil ABC initiatives. (Reuters):...By: Thomas Fox - Compliance Evangelist
[Video] Sunday Book Review: June 7, 2026, The Top Books Ursula Le Guin Edition
In the Sunday Book Review, Tom Fox considers books that would interest compliance professionals, business executives, or anyone curious. It could be books about business, compliance, history, leadership, current events, or anything else that might interest Tom. In this episode, we look at 4 top books noted by Science Fiction writer Ursula Le Guin. • A Wizard of Earthsea • The Dispossessed • The Left Hand of Darkness • The Word for World is Forest Resources: The Essential Ursula K. Le Guin in...By: Thomas Fox - Compliance Evangelist
When Assignability Fails, Security Fails, June 2026 - NAV Collateral: The Assignability of Delaware Fund Interests
Borrowers under net asset value (“NAV”) credit facilities will sometimes seek to grant a direct pledge of their interests in hedge funds and private equity funds as collateral. The analysis for determining whether any such pledge is enforceable turns on whether those fund interests can be assigned. If they cannot, the lender’s security interest never attaches, and upon a default, the lender is left without recourse to the interests or their proceeds....By: Cadwalader, Wickersham & Taft LLP
Outdated Assumptions, New Exposure: What Southern Company Means for Defined Benefit Plans
Following a wave of high‑profile settlements involving large defined benefit pension plans, including Raytheon (which settled for around $59 million) and CITGO (which settled for around $10 million), and as they await litigation outcomes in pending MetLife and Southern Company Services cases, now is a good time for employers and others sponsoring defined benefit pension plans to review their plan’s actuarial assumptions to determine whether they cross the line from permissible to legally...By: Nelson Mullins Riley & Scarborough LLP
Dallas is the New Bankruptcy Boomtown
Why North Texas Is Now a Top Destination for Large-Scale Restructurings -Everything's bigger in Texas, including the state's bankruptcy docket. Over the past twelve months, more mega-bankruptcies were filed in Dallas and Fort Worth than in either the Southern District of New York or the District of New Jersey. For companies facing financial distress — or their boards navigating complex capital structures — that shift matters....By: Akerman LLP
June 2026 Fed Report Highlights Banking Resilience and Emerging Private-Credit & Real-Estate Risks
Earlier this week, the Federal Reserve Board (FRB) issued its latest semiannual Supervision and Regulation Report. The report delivers a familiar dual narrative for the U.S. banking system: robust headline capitalization paired with an intensifying supervisory focus on specific asset classes and counterparty risks....By: Cadwalader, Wickersham & Taft LLP
The Desk: June Edition
Enforcement Update: This month’s enforcement roundup covers five significant CFTC developments that demand immediate attention from registrants and market participants:...By: Moore & Van Allen PLLC
OSC Proposes Fee Updates for 2027
The Ontario Securities Commission (“OSC”) published for comment proposed amendments and changes to OSC Rule 13-502 Fees, OSC Rule 13-503 (Commodity Futures Act) Fees and their companion policies (the “Proposed Amendments”). The OSC indicates that the Proposed Amendments are intended to address a funding gap in order to support the OSC’s long-term sustainability and fulfillment of its statutory mandate in a rapidly evolving capital markets landscape....By: Stikeman Elliott LLP
IOSCO Publishes Its Final Report on the Valuation of Collective Investment Schemes
The International Organization of Securities Commissions (“IOSCO”) has now published its final report, Recommendations on Valuing Collective Investment Scheme (“CIS”) (the “Recommendations”), which updates and merges previous principles published in 2007 (valuation of hedge fund portfolios) and 2013 (Valuation of Collective Investment Schemes). The Recommendations apply to registered/authorised open-ended funds available to retail investors as mutual funds, including those investing in less...By: Cadwalader, Wickersham & Taft LLP
Supreme Court Allows SEC to Obtain Disgorgement Without Showing Investors Suffered a Financial Loss
Sripetch v. SEC, No. 25-466 - Introduction - Yesterday, the Supreme Court unanimously held that the SEC is not required to show that investors suffered pecuniary loss in order to obtain a disgorgement award. But the Court left open for resolution in future cases other potential limitations on the SEC’s disgorgement authority....By: Mayer Brown
FDIC Backs Industry in Colorado DIDMCA Opt-Out Fight, Urges Bank-Focused Reading of “Loans Made in Such State”
On June 4, the Federal Deposit Insurance Corporation (FDIC) filed an amicus brief in the Tenth Circuit’s en banc rehearing of National Association of Industrial Bankers v. Weiser, supporting industry plaintiffs and arguing that the Depository Institutions Deregulation and Monetary Control Act of 1980 (DIDMCA) § 525’s phrase “loans made in such State” refers to the state where the bank is located and performs key lending functions, not where the borrower resides....By: Troutman Pepper Locke
EU Listing Act prospectus requirements in transition
On 5 June 2026, the EU Listing Act (Regulation (EU) 2024/2809) introduces amendments to the Prospectus Regulation (Regulation (EU) 2017/1129). These changes affect the format, sequence, content, scrutiny and approval of relevant prospectuses. This alert explains the practical implications for EMEA bond issuers and sets out the approaches recommended by certain EU National Competent Authorities (NCAs)....By: White & Case LLP
Be Ready to Borrow: Practical Steps Nonprofits Can Take Now
Nonprofits that prepare early are better positioned to access credit quickly when needs arise. Lenders move faster and negotiate more favorably when an organization’s governance, regulatory, and financial house is in order. The following steps help ensure your nonprofit is “lender-ready” on short notice....By: Partridge Snow & Hahn LLP
Cyber Litigation in Financial Services: Managing the Evolving Risk
Cyber incidents are increasingly giving rise to complex, long‑tail litigation risk, particularly for financial services firms. As regulators place growing emphasis on operational resilience, outsourcing governance and accountability, the same regulatory findings may be repurposed to support civil follow‑on claims long after incidents occur....By: BCLP
AMLA consults on draft guidelines on ongoing monitoring of business relationships
The EU Authority for Anti-Money Laundering and Countering the Financing of Terrorism (AMLA) has launched a consultation on draft guidelines on ongoing monitoring of business relationships under Article 26(5) of Regulation 2024/1624....By: A&O Shearman
Emerging Litigation Risks in Private Credit
Private credit in the United States has grown from roughly $41 billion in 2000 to an estimated $1–$2 trillion today. Some projections anticipate growth globally to $5 trillion by 2029. Funds now compete directly with traditional bank syndications, and retail participation has expanded significantly through business development companies (“BDCs”), whose total assets reached $438 billion by year-end 2024....By: Mayer Brown
Treasury and IRS Ease Reporting Requirements for Sales of Partnership Interests
Our Federal & International Tax Group examines final regulations that relieve partnerships from the requirement to report a transferor’s share of hot assets and other items within a short time after a transfer of partnership interests....By: Alston & Bird
The Pensions Brief: June 2026
ISSUES AFFECTING ALL SCHEMES INHERITANCE TAX CHANGES - PROVISION OF INFORMATION REQUIREMENTS - HM Revenue & Customs (HMRC) has published draft regulations for consultation setting out the new provision of information requirements that will apply in relation to the changes to the inheritance tax (IHT) treatment of death benefits....By: Mayer Brown
FINRA Publishes Private Placement Data
In May 2026, FINRA’s Corporate Financing Department launched a new Private Placement Information page that makes selected information from private placement filings publicly available. The data is derived from Rule 5122 and Rule 5123 filings and will be updated periodically. Historically, information collected through FINRA’s private placement filing program was treated as confidential and used solely for regulatory purposes....By: Mayer Brown Free Writings + Perspectives
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