SEC – Statement regarding Special Purpose Broker-Dealers Eligible to Custody Digital Asset Securities (Statement) -
- On December 23, 2020, the Securities and Exchange Commission (SEC) said that, for a five-year period, it...more
The Commodity Futures Trading Commission (CFTC) voted to adopt new rules on position limits (Final Rules) in an open meeting on October 15. Once effective, the Final Rules will implement one of the remaining key provisions of...more
Eight years after the Commodity Futures Trading Commission (CFTC or Commission) established a comprehensive swap data reporting and public dissemination regulatory regime, on September 17, the Commission adopted extensive...more
SEC/CORPORATE -
SEC Adopts Amendments and Issues Guidance Related to Proxy Voting Advice -
On July 22, the Securities and Exchange Commission announced the adoption of amendments (the Amendments) to the SEC’s rules...more
Key Points -
- The Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) recently released a Risk Alert warning investment advisers, broker-dealers, investment companies,...more
Key Points -
- On April 14, the Commodity Futures Trading Commission (CFTC) proposed an extensive set of amendments to its bankruptcy rules (Proposal), which have not been materially amended since the regulations were...more
Key Points -
- This Katten Advisory focuses on the impact of the COVID-19 outbreak on regulatory compliance obligations of financial firms operating in the United States, with a focus on securities and derivatives industry...more
3/21/2020
/ Business Continuity Plans ,
Centers for Disease Control and Prevention (CDC) ,
CFTC ,
Coronavirus/COVID-19 ,
Enforcement ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Services Industry ,
National Futures Association ,
Relief Measures ,
Securities and Exchange Commission (SEC) ,
World Health Organization
Key Points
- The Commodity Futures Trading Commission (CFTC) has proposed new rules (Proposal) for the cross-border application of certain of its swap regulations.
- The Proposal includes certain changes relative to the...more
3/4/2020
/ CFTC ,
Collective Investment Schemes ,
Comment Period ,
Commodity Exchange Act (CEA) ,
Cross-Border Transactions ,
Derivatives ,
Employee Retirement Income Security Act (ERISA) ,
Foreign Branch Offices ,
Foreign Branches of U.S. Banks ,
Foreign Investment ,
Foreign Jurisdictions ,
Major Swap Participants ,
New Rules ,
Principal Place of Business ,
Public Comment ,
Securities and Exchange Commission (SEC) ,
Swap Dealers ,
Swaps
BROKER-DEALER -
FINRA Proposes to Ease Restrictions on Initial Equity Public Offerings and New Issues -
The Financial Industry Regulatory Authority (FINRA) is proposing to amend its Rule 5130 and Rule 5131 to...more
8/5/2019
/ Blockchain ,
CFTC ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Foreign Investment ,
Foreign Sovereigns ,
Initial Public Offering (IPO) ,
No-Action Letters ,
Proposed Amendments ,
Reporting Requirements ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
TRACE ,
UK