BROKER-DEALER -
SEC Issues Amendments, Seeks Public Comment on Holding Foreign Companies Accountable Act -
On March 24, the Securities and Exchange Commission adopted interim final amendments to implement...more
3/29/2021
/ Bank of England ,
Coronavirus/COVID-19 ,
EU ,
European Securities and Markets Authority (ESMA) ,
False Claims Act (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Services Industry ,
NFA ,
Securities and Exchange Commission (SEC) ,
UK ,
UK Brexit ,
Whistleblowers
Katten's London affiliate office launched its weekly fireside chat on May 5, 2020 and each week has covered a wide range of interesting UK and EU financial services regulatory topics. We have received some fantastic feedback...more
UK DEVELOPMENTS -
COVID-19: FCA Publishes Dear CEO Letter on Increased Client Money Balances -
On August 12, the UK’s Financial Conduct Authority (FCA) published a “Dear CEO Letter” (the Letter) for firms providing...more
BROKER-DEALER -
FINRA Proposes Rule Change Regarding ATS Reporting of Transactions to TRACE -
The Financial Industry Regulatory Authority recently filed a proposed rule change with the Securities and Exchange Commission...more
6/11/2018
/ Alternative Trading System (ATS) ,
Banking Sector ,
CFTC ,
De Minimus Quantity Exemption ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Services Industry ,
Futures ,
Proposed Amendments ,
Swap Dealers ,
TRACE ,
UK ,
UK Brexit ,
Volcker Rule
BROKER-DEALER -
FINRA Publishes Regulatory Notice Regarding 2018 GASB Accounting Support Fee -
On April 17, the Financial Industry Regulatory Authority issued Regulatory Notice 18-12, which announces that FINRA will...more
BROKER-DEALER -
FINRA Requests Comment on Proposed New Rule Governing Outside Business Activities
On February 26, the Financial Industry Regulatory Authority released Regulatory Notice 18-08, which solicits comments on...more
SEC/CORPORATE -
On November 1, the Division of Corporation Finance of the Securities and Exchange Commission (Division) published Staff Legal Bulletin No. 14I (SLB 14I), which provides new, issuer-friendly guidance on...more