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    • FEDERAL PREEMPTION—2nd Cir.: Former CFTC Chair Gensler argues federal law does not preempt states on prediction markets
    • BROKER-DEALERS—FINRA fines Webull $4.2M for AML, ITPP, best execution failures
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    • BROKER-DEALERS—Swaggy C. to pay $60K for unregistered contracts for differences brokerage
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    • DERIVATIVES—N.D. Cal.: Kalshi barred from offering sports event contracts on plaintiff tribes’ lands
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    • FRAUD AND MANIPULATION—N.D. Tex.: Texas court orders restitution, commodity bars in Larrick default judgment
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    • REGULATION TRACKER—Upcoming SEC and CFTC comment deadlines and effective dates
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    Securities Regulation Daily Wrap Up, BROKER-DEALERS—Swaggy C. to pay $60K for unregistered contracts for differences brokerage, (Nov 9, 2026)

    By Rodney F. Tonkovic, J.D.

    "Swaggy C" promoted leveraged stock-based CFDs to U.S. retail traders but lagged in registering as a broker.

    The SEC settled charges against former reality television star Christopher Williams for acting as an unregistered broker. The Commission found ...

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