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    • EXCHANGES AND MARKET REGULATION—CFTC: sportsbook wagers are not ‘swaps‘ but sports-related event contracts are
    • BROKER-DEALERS—NASAA proposes aligning policy statement with Regulation Best Interest
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    • ENFORCEMENT—FTC, states move for contempt against Shkreli for violating ban
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    • ENFORCEMENT—N.D. Tex.: Court backs CFTC authority ruling, pauses TMTE case
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    • ENFORCEMENT—New York AG announces Celsius deal: up to $35 million, permanent ban
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    • FRAUD AND MANIPULATION—N.D. Cal.: SEC charges former Linqto execs with pre-IPO fraud
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    • IPO TRACKER—Healthcare industry sees two IPOs, five new registrations
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    • LAW FIRM PERSPECTIVES—Does The SEC Use Emails And Text Messages To Prove Insider Trading?
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    Securities Regulation Daily Wrap Up, BROKER-DEALERS—NASAA proposes aligning policy statement with Regulation Best Interest, (Oct 13, 2026)

    By Anne Sherry, J.D.

    The proposed amendments to NASAA’s Investment Company Shares SOP will not alter any existing requirements but add language that was added last year to the model Business Practices Rule.

    NASAA is seeking public comment on proposed amendments to ...

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