Regulatory & Compliance
SEC's First Rule 18f-4 Enforcement: What Every ETF Investor Needs to Know
The SEC just issued its first-ever enforcement action under Rule 18f-4 — the derivatives risk management rule for investment companies. The target was Simplify Asset Management. The penalty was
Jeff Barnes, MBA··6 min read
Regulatory & Compliance
SEC and CFTC Open Comment Period on Derivatives Definitions: What Accredited Investors Need to Know
On June 18, 2026, the SEC and CFTC jointly issued Release 2026-57 , opening a 60-day public comment period on whether the current definitions of "swap," "security-based swap," and "mixed swap" under...
Jeff Barnes, MBA··10 min read