Category: News

May was a month defined by institutional transition, regulatory modernization, and an increasingly assertive posture from regulators navigating emerging market structures. At the SEC, a leadership change on the horizon raised practical questions about agency capacity, while public remarks from the Chairman and Commissioners reinforced a clear pivot toward innovation-friendly regulation and streamlined disclosure. FINRA continued its modernization agenda through its FINRA Forward initiative, publishing a year-in-review report and new margin guidance while signaling a more data-driven, transparent examination approach. The CFTC escalated its jurisdictional fight over prediction markets into active litigation against eight states — and moved aggressively in early June to establish a regulatory […]

May’s insurance regulatory landscape was marked by the continued unusually heavy concentration of activity early in the legislative cycle with substantive activity across multiple fronts — and early June data confirms the pace is not slowing down. At the state level, legislators continued expanding adjuster licensing and continuing education requirements, with Connecticut granting its Insurance Commissioner new authority over adjuster CE and South Carolina enacting a broad package of adjuster-related reforms. Across lines of business, states took action on AI oversight in health insurance claims, property and casualty transparency, financial exploitation protections, workers’ compensation, and wildfire-related disclosure obligations. On the federal side, significant final […]

If there was a single theme in April’s insurance regulatory activity, it was acceleration. State-level legislative output surged 82% from March, with 155 bills enacted compared to 85 the prior month. But the substance of what regulators and legislators are focused on was just as notable as the volume. A few important trends are shaping the road ahead. First, artificial intelligence is moving from a topic of general industry conversation into the regulatory apparatus itself. Washington became the first state to require AI disclosure in insurance product filings, a development that other states are almost certainly watching. Second, regulators are […]

On December 16, 2025, the SEC’s Division of Examinations released a new Risk April was a month of consequential regulatory activity across the securities landscape. Several of the month’s most significant developments share a common thread: regulators are pushing for greater transparency, modernized frameworks, and more effective risk management. The SEC moved to clarify expanded execution quality reporting obligations. FINRA overhauled decades-old margin rules and began digitizing its examination request process. The CFTC sharpened its enforcement posture around prediction markets. And FinCEN proposed what may be the most fundamental reform to Bank Secrecy Act compliance in a generation. At the […]