Latest Publications

Share:

Financial Markets and Funds Quick Take | Issue 33

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more

Not-So-New News Flash? Change in Administration Ushers Back a Deregulatory Agenda – Implications for Investment Advisers

While most industry observers agree that the transition to the new presidential administration will bring with it a deregulatory agenda, members of Katten’s asset management regulatory team compiled their Top-5 Holiday Wish...more

SEC Division of Examinations Publishes 2025 Priorities

On October 21, the Securities and Exchange Commission's (SEC) Division of Examinations (Division) published its examination priorities for its fiscal year 2025 (Oct. 1, 2024–Sept. 30, 2025). First published in 2013, the SEC's...more

ESG Guidepost | Issue 18

Katten ESG Guidepost is a monthly publication highlighting the latest news, legal and regulatory developments involving environmental, social and governance matters....more

Financial Markets and Funds Quick Take | Issue 30

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more

AML Programs for Investment Advisers

On August 28, the US Department of the Treasury’s (Treasury Department) Financial Crimes Enforcement Network (FinCEN) issued a final rule that expands anti-money laundering (AML) and countering the financing of terrorism...more

Judge Dismisses Case Against Seeking Alpha: Implications for Publishers of Financial Information

In a recent decision, the US District Court for the Southern District of New York dismissed a proposed class action against Seeking Alpha, Inc., ruling that the financial content platform falls within the "publisher's...more

Financial Markets and Funds Quick Take | Issue 29

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more

Spring 2024 Agenda of Regulatory Actions Published: SEC Spotlight

Twice each year, the Office of Information and Regulatory Affairs publishes the semi-annual “Unified Agenda of Regulatory and Deregulatory Actions” of the various federal agencies. Here, we focus on the Securities and...more

Financial Markets and Funds Quick Take | Issue 28

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more

A Brave New World: The Supreme Court Torpedoes the 'Administrative State'

The Supreme Court is at war with the “administrative state.” In three major cases decided at the end of the Supreme Court’s last term, the Court decided against the administrative state, reducing the powers of administrative...more

Financial Markets and Funds Quick Take | Issue 27

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more

Vacation Alert: Fifth Circuit Vacates Private Fund Adviser Rules

On June 5, the Fifth Circuit Court of Appeals (Court) vacated the entire set of private fund adviser rules adopted by the Securities and Exchange Commission (SEC) on August 23, 2023. Many private fund advisers would have been...more

Private Fund Adviser Rule Q&A: Spotlight on Preferential Treatment

Editorial Note: In a follow-up to our summary of the SEC’s new private fund adviser rule, Katten attorneys share their views on implementation questions related to a variety of new requirements applicable to advisers to...more

Customer Identification Program Requirements for Investment Advisers

On May 13, the Securities and Exchange Commission (SEC) and the US Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) jointly proposed to require that SEC-registered investment advisers (RIAs) and...more

Financial Markets and Funds Quick Take | Issue 24

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more

SEC Investment Advisers Again in Focus

On February 13, the US Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) proposed to expand anti-money laundering (AML) and countering the financing of terrorism (CFT) program requirements to cover...more

Financial Markets and Funds Quick Take | Issue 23

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more

Third Time's a Charm? SEC & CFTC Finalize Amendments to Form PF

On February 8, the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) jointly adopted amendments to Form PF, the confidential reporting form for certain registered investment advisers to...more

Financial Markets and Funds Quick Take | Issue 22

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more

SEC Regulatory Update: Fall 2023 Rulemaking Agenda Published

The Office of Information and Regulatory Affairs recently released the semi-annual, Fall 2023 regulatory agenda (“Agenda”). The Agenda outlines the SEC Chairman’s rulemaking priorities over the next 12 months. The Agenda...more

Financial Markets and Funds Quick Take | Issue 20

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more

Spotlight on Investment Advisers and Broker-Dealers

On October 16, the Securities and Exchange Commission's (SEC) Division of Examinations (Division) published its examination priorities for its fiscal year 2024 (Oct. 1, 2023 - Sep. 30, 2024). The Division noted that the...more

Financial Markets and Funds Quick Take | Issue 18

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more

SEC Adopts Controversial and Sweeping Changes to Private Fund Rules; Requires Documentation of Annual Compliance Reviews

On August 23, the Securities and Exchange Commission ("SEC") voted 3-2 (with Commissioners' Peirce and Uyeda dissenting) in favor of adopting new and amended rules under the Investment Advisers Act of 1940 ("Advisers Act")...more

36 Results
 / 
View per page
Page: of 2

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide