Securities Regulation Daily Wrap Up, WORTH NOTING—Other litigation, regulatory activity and industry news, (Feb 27, 2026)

By WK Editorial Staff

A weekly roundup of items of interest to the securities, derivatives and corporate governance communities.

CFTC NEWS AND SPEECHES—Chairman Michael S. Selig announced the appointment of four senior officials, including Brooke Nethercott as director of public affairs, Emma Johnston as senior agriculture advisor, and Meghan Tente and Elizabeth (Libby) Mastrogiacomo as senior advisors. Nethercott brings congressional and strategic communications experience, including work with the House Financial Services Committee, while Johnston contributes agricultural policy expertise from Capitol Hill roles. Tente and Mastrogiacomo both add extensive regulatory and legal experience from prior leadership and advisory positions within the CFTC and private practice.

SEC NEWS AND SPEECHES—The SEC and the Financial Services Agency of Japan (FSA) convened the Spring SEC-FSA Financial Regulatory Dialogue in Tokyo on Friday, Feb. 27, 2026. The SEC–FSA Dialogue builds upon longstanding efforts between the two authorities to increase cooperation and strengthen collaboration on key cross-border issues and developments. Commissioner Mark Uyeda led the Dialogue for the SEC and Miyoshi Toshiyuki, vice minister for International Affairs at the FSA, led the Dialogue for the FSA. "The Dialogue between the SEC and the FSA reinforces and grows one of our most important capital market relationships,” said SEC Commissioner Uyeda. “Our work with colleagues across the Pacific is critical to protecting investors and I look forward to future opportunities for cooperation between our authorities The next SEC-FSA Dialogues are scheduled to be convened in Tokyo in the fall of 2026 and in Washington, D.C., in the spring of 2027.

CFTC NEWS AND SPEECHES—The CFTC’s Market Participants Division (MPD) reissued CFTC Staff Letter 25-50 to add an additional no-action position in relation to the interaction between Letter 25-50 and CFTC Staff Letter 14-126, regarding certain delegation arrangements between commodity pool operators. In Letter 25-50, MPD took a no-action position on registration requirements applicable to CPOs registered as investment advisers with the SEC, which operates commodity pools privately offered to sophisticated investors known as qualified eligible persons. Pursuant to the reissued letter, MPD will not recommend that the Commission commence an enforcement action against a Delegating CPO for failure to register as a CPO where all the criteria of Letter 14-126 are satisfied, except that the Designated CPO is a QEP No-Action CPO. The reissuance is a response to a request from the Managed Funds Association.

SEC NEWS AND SPEECHES—The SEC will hold a roundtable on March 4 to discuss private market valuations and responsible retaliation. The roundtable will be hosted by the Division of Investment Management from 1 p.m. to 3 p.m. ET at the SEC’s Washington, D.C., headquarters and streamed live on the SEC website. “With retail exposure to alternative investments becoming more common, we want to help everyday investors understand the different valuation approaches used in these products,” said Brian Daly, director of the SEC’s Division of Investment Management. The two-panel roundtable will include panelists from the private market industry and will be moderated by officials from the Division of Investment Management.

IndustryNews: CFTCNews ExchangesMarketRegulation SECNewsSpeeches