News from the economy, politics and the financial markets
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SEC Grants Conditional Exemptive Relief and Related No-Action Relief From Exchange Act Provisions for Multi-Class ETFs - The Final Piece of the Multi-Class ETF Regulatory Puzzle Is Now in Place.
On March 17, 2026, the U.S. Securities and Exchange Commission (SEC) issued an order1 granting conditional exemptive relief from Section 11(d)(1) of the Securities Exchange Act of 1934, as amended (the Exchange Act),...By: Ropes & Gray LLP
[Audio] Important CRA Lesson from OCC proposal for all Intermediate-Small and Large Banks
OCC's new CRA proposal: key lessons and cheatsheet every intermediate-small and large bank needs to know....By: GeoDataVision
Why State Law, Not CROA, Is the Real Compliance Risk for Credit Building Tools
A question practitioners in the debt relief space are increasingly asking is at what point a credit building tool triggers the compliance obligations of the Credit Repair Organizations Act, 15 U.S.C. §§ 1679 et seq. The answer turns on a single word: “improving.” CROA covers any entity that, for valuable consideration, sells or performs any service for the express or implied purpose of “improving any consumer’s credit record, credit history, or credit rating,” or provides “advice or assistance”...By: Shipkevich PLLC
CFTC Seeks Input on Prediction Markets as Staff Signal Heightened Scrutiny for Sports-Related and Other Event Contracts
On March 16, 2026 the CFTC continued its assertion of exclusive jurisdiction over prediction markets1 by publishing an ANPRM2 and Staff Advisory,3 both related to event contracts. These releases come amid ongoing federal and state litigation between state and tribal authorities on the one hand and CFTC-designated contract markets and registrants on the other over jurisdictional boundaries and a massive spike in interest in event contract trading....By: Lowenstein Sandler LLP
SEC Commissioner Peirce Addresses Industry at SIFMA's Compliance and Legal 2026 Annual Seminar
Securities and Exchange Commission (SEC or Commission) Commissioner Hester Peirce delivered wide-ranging remarks at SIFMA's Compliance and Legal 2026 Annual Seminar, addressing the Commission's evolving dynamics, digital assets, artificial intelligence, enforcement priorities under Chairman Paul Atkins, and her vision for a more collaborative regulatory posture....By: Katten Muchin Rosenman LLP
What TPAs Get Sued For (Hint: It’s Not the Calculator)
As a retirement plan attorney, I can tell you this with certainty: TPAs are rarely sued because they miscalculated a contribution by a few dollars. Math errors happen. The industry knows how to fix them. Lawsuits don’t come from arithmetic—they come from assumptions, silence, and blurred lines of responsibility....By: Ary Rosenbaum - The Rosenbaum Law Firm P.C.
Important Update for Real Estate Professionals: Reporting Obligations Under FinCEN’s Residential Real Estate Reporting Rule Have Been Suspended
On March 19, 2026, the U.S. District Court for the Eastern District of Texas, Tyler Division, vacated the Anti-Money Laundering Regulations for Residential Real Estate Transfers (the “Reporting Rule”), issued by the Financial Crimes Enforcement Network (“FinCEN”) under the U.S. Treasury Department. The Reporting Rule had gone into effect March 1, 2026....By: Tucker Arensberg, P.C.
IMpact: Investment Management News - Q1 2026
Welcome to IMpact: Investment Management News. In this regular bulletin, DLA Piper lawyers share their insights on key developments that are impacting the investment management industry....By: DLA Piper
SEC/CFTC Issue Joint Interpretation on Crypto Assets
On March 17, 2026, the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) jointly issued an interpretive release addressing the classification of crypto assets and the application of federal securities laws to crypto asset transactions. In accompanying public statements, the SEC described the release as recognizing that “most crypto assets are not themselves securities,” reflecting a significant shift in emphasis toward distinguishing between the asset...By: Pillsbury Winthrop Shaw Pittman LLP
The Steady Hand of Support: The Central Bank of the UAE’s Financial Institution Resilience Package
Market uncertainty has dominated international economic headlines since the commencement of regional hostilities in the Arabian Gulf in late February. In our previous article, we highlighted the current legal considerations business face across various sectors....By: Paul Hastings LLP
Mitigating tax risks on secondary transactions
The market for private equity limited partner (“LP”) secondary transfers continues to grow. In order for buyers and sellers of secondary interests to assess the economics of the deal and potential risks to execution, both parties must assess the risks as to whether the transaction will trigger any potential tax liabilities and then agree how these risks will be addressed in the transaction documentation....By: Hogan Lovells
SEC Updates Enforcement Manual, Improving Process and Transparency
On February 24, 2026, the U.S. Securities and Exchange Commission (SEC) announced significant updates to its Enforcement Manual. These revisions make improvements to process and transparency, and they should be helpful to companies and individuals who find themselves involved in SEC investigations. Originally Published by American Bar Association - March 12, 2026....By: Bradley Arant Boult Cummings LLP
A New Path to Homeownership?
In today’s real estate market—defined by rising prices, tightening credit, and limited inventory—alternative transaction models have emerged alongside traditional home sales. One such model is being implemented by Denver-based FulHouse, Inc. (fulhouse.io), which combines elements of real estate transactions with sweepstakes-style entry systems. Under the FulHouse model, consumers have the opportunity to “purchase” a home for as little as five dollars....By: Otten Johnson Robinson Neff + Ragonetti PC
Transfer Restrictions in NAV Credit Facilities: Impact on Collateral and Market Solutions
EXECUTIVE SUMMARY: A common hurdle in Net Asset Value (NAV) credit facilities is the presence of transfer restrictions on equity interests. In this Legal Update, we explain how these transfer restrictions operate in NAV credit facilities, their practical implications, and potential solutions for navigating their complexities....By: Mayer Brown
Simplified Roadmap for OTC Markets Quotation
Introduction: Small- and mid-cap companies seeking to gain access to capital markets and improved liquidity for their capital stock should consider the benefits that over-the-counter (“OTC”) markets can provide as a viable alternative to primary national stock exchanges such as Nasdaq and the New York Stock Exchange....By: Robinson & Cole LLP
Shaping Investments into EU Strategic Sectors: The FDI Screening Reform and the Industrial Accelerator Act
The European Union’s approach to foreign direct investment (FDI) screening is undergoing a marked shift with potentially significant ramifications. What began as a coordination-focused FDI screening framework is evolving into an increasingly structured set of tools designed to protect the economic security of the European Union by reducing strategic dependencies and vulnerabilities and protecting critical technologies....By: Mayer Brown
US Banking Regulators Propose Reforms to Capital Requirements
On March 19, 2026, US federal banking regulators issued proposals to: (i) significantly revise the risk-based regulatory capital requirements for Category I and II banking organizations1 (the “Basel III Proposal”); (ii) change the risk weights that other banking organizations apply to credit exposures (the “Standardized Approach Proposal”); and (iii) change the method for calculating the capital surcharge for globally systemically important banking organizations (“G-SIBs”) (the “G-SIB Surcharge...By: Mayer Brown
EBA Consults On Draft Guidelines And RTS On Initial Margin Model Authorization
The European Banking Authority (EBA) has launched two consultations on draft guidelines and regulatory technical standards (RTS) on the authorisation of initial margin models under the revised European Market Infrastructure Regulation (EMIR 3). Under EMIR 3, counterparties must obtain prior approval from their competent authority to use internal models used to calculate initial margin for non centrally cleared derivatives. The proposals aim to create an efficient and harmonized authorization...By: A&O Shearman
SEC issues groundbreaking interpretation on crypto asset regulation
After more than a decade of regulatory uncertainty, on March 17, 2026, the US Securities and Exchange Commission (SEC) issued an interpretation clarifying how federal securities laws apply to crypto assets and that most crypto assets are not securities (“the interpretation”)....By: McDermott Will & Schulte
Five Common Pitfalls Hard Money Lenders Must Avoid to Reduce Risk and Protect Their Deals
This article details five pitfalls hard money lenders’ teams face when working on potential deals. Detailing these pitfalls is intended to be a useful guide for those new to the industry (and want to avoid costly mistakes) and,...By: Offit Kurman
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