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Industry Guidance

Access guidance and best practices for members, their customers and market participants on operational and technological issues as well as law, regulatory and compliance issues.

Regulatory Guidance

  • FIA congratulates Mike Selig on his confirmation

    FIA congratulates Mike on his confirmation to chair the CFTC. At a time when Congress is navigating a regulatory framework for digital assets, and technology is disrupting and enhancing traditional finance, Mike is the right person with the right experience to lead the agency through these times of great change. CONTINUE READING

  • FIA New Member Profile – Texas Stock Exchange

    Texas Stock Exchange (TXSE), based in Dallas, received SEC approval in September 2025 to operate as a national securities exchange and is on track to launch trading, exchange-traded products and corporate listings in 2026. The new exchange is backed by major financial firms, including JP Morgan, Bank of America, BlackRock, Citadel Securities, Charles Schwab and Goldman Sachs. TXSE will serve US-based and international issuers, investors and market participants. CONTINUE READING

  • FIA board chair Crighton testifies on CFTC reauthorization

    There is tremendous change facing the cleared derivatives markets today, especially when compared to 2008 when the CFTC was last reauthorized. FIA strongly supports the reauthorization of the CFTC, as it reinforces the agency’s mission and central role in safeguarding markets critical to the global economy. CONTINUE READING

  • FIA responds to Hong Kong SFC on proposed investor identification regime

    FIA expresses support for the overall direction of the proposals and recognises the important role that an effective investor identification framework would play in strengthening market transparency, enhancing surveillance and supporting the continued development of Hong Kong’s derivatives market. CONTINUE READING

  • FIA New Member Profile – Dechert LLP

    For more than 150 years, and with nearly 1,000 lawyers, Dechert has advised clients on their most critical issues – from complex regulatory matters and first-in-market transaction structures to high-stakes litigation. The firm's derivatives, repurchase agreements, structured products and market infrastructure practice represents buy-side clients, including commercial and investment banks, across equity and fixed income derivatives and commodities-linked structures. CONTINUE READING

  • Litigating Under the CEA

    With the ongoing evolution of derivatives market infrastructure, and with the advent of new derivatives products, the Commodity Exchange Act is becoming an increasingly relevant statute in state and private party litigation. An expert panel from Milbank LLP presents a timely discussion of cases and controversies under this time-tested law in the emerging financial markets space.



    CONTINUE READING
Read All Regulatory Guidance

Operational and Technology Guidance

  • FIA congratulates Mike Selig on his confirmation

    FIA congratulates Mike on his confirmation to chair the CFTC. At a time when Congress is navigating a regulatory framework for digital assets, and technology is disrupting and enhancing traditional finance, Mike is the right person with the right experience to lead the agency through these times of great change. CONTINUE READING

  • FIA New Member Profile – Texas Stock Exchange

    Texas Stock Exchange (TXSE), based in Dallas, received SEC approval in September 2025 to operate as a national securities exchange and is on track to launch trading, exchange-traded products and corporate listings in 2026. The new exchange is backed by major financial firms, including JP Morgan, Bank of America, BlackRock, Citadel Securities, Charles Schwab and Goldman Sachs. TXSE will serve US-based and international issuers, investors and market participants. CONTINUE READING

  • FIA board chair Crighton testifies on CFTC reauthorization

    There is tremendous change facing the cleared derivatives markets today, especially when compared to 2008 when the CFTC was last reauthorized. FIA strongly supports the reauthorization of the CFTC, as it reinforces the agency’s mission and central role in safeguarding markets critical to the global economy. CONTINUE READING

  • FIA responds to Hong Kong SFC on proposed investor identification regime

    FIA expresses support for the overall direction of the proposals and recognises the important role that an effective investor identification framework would play in strengthening market transparency, enhancing surveillance and supporting the continued development of Hong Kong’s derivatives market. CONTINUE READING

  • FIA New Member Profile – Dechert LLP

    For more than 150 years, and with nearly 1,000 lawyers, Dechert has advised clients on their most critical issues – from complex regulatory matters and first-in-market transaction structures to high-stakes litigation. The firm's derivatives, repurchase agreements, structured products and market infrastructure practice represents buy-side clients, including commercial and investment banks, across equity and fixed income derivatives and commodities-linked structures. CONTINUE READING

  • Litigating Under the CEA

    With the ongoing evolution of derivatives market infrastructure, and with the advent of new derivatives products, the Commodity Exchange Act is becoming an increasingly relevant statute in state and private party litigation. An expert panel from Milbank LLP presents a timely discussion of cases and controversies under this time-tested law in the emerging financial markets space.



    CONTINUE READING
Read All Operational & Technology Guidance