Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more
3/14/2024
/ Broker-Dealer ,
CFTC ,
Digital Assets ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Financial Markets ,
FinCEN ,
Investment Adviser ,
Securities ,
Securities and Exchange Commission (SEC) ,
UK
Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more
Katten Named Leader in Blockchain and Cryptocurrency in Chambers FinTech 2023 Guide -
Katten announced that the firm had attained a superior ranking in the Chambers FinTech 2023 guide. Katten was recognized as a leader in...more
BROKER-DEALER -
Notice of Filing of a Proposed Rule Change to Adopt a Supplemental Liquidity Schedule -
The Securities and Exchange Commission is seeking comments on a Financial Industry Regulatory Authority (FINRA)...more
BROKER-DEALER FINRA -
Shares Practices Firms Use to Protect Customers from Online Account Takeover Attempts -
On April 11, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 21-18 (Notice) in...more
BROKER-DEALER -
FINRA Seeks Comment Regarding Diversity and Inclusion Initiatives -
The Financial Industry Regulatory Authority (FINRA) is seeking comment on rules, operations and administrative processes that may...more
BROKER-DEALER -
Gary Gensler Names Initial Senior Staff Members -
On April 19, the Securities and Exchange Commission announced the appointments of SEC Chair Gary Gensler’s senior staff, who will be responsible for...more
SEC/CORPORATE -
SEC Statements Regarding SPACs Address Warrants and Projections -
Following the increase in the number of special purpose acquisition companies (SPACs) and the related business combinations between SPACs...more
SEC/CORPORATE -
SEC Corp Fin Staff Issues Statement on SPAC Transactions -
On March 31, the staff of the Division of Corporation Finance (the Staff) of the Securities and Exchange Commission issued a staff statement...more
BROKER-DEALER -
2021 Advisory Committee Overview and Engagement Notice -
On March 26, the Financial Industry Regulatory Authority (FINRA) published a notice encouraging employees of member firms and other interested...more
SEC/CORPORATE -
Acting SEC Chair Lee Provides Public Statement Welcoming Public Comment on Climate Change Disclosures -
On March 15, Acting Securities and Exchange Commission Chair Allison Herren Lee made a public...more
3/22/2021
/ Broker-Dealer ,
CFTC ,
Climate Change ,
Disclosure Requirements ,
Environmental Social & Governance (ESG) ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Adviser ,
NFA ,
Securities and Exchange Commission (SEC)
SEC/CORPORATE -
SEC Staff Releases Sample Comment Letter on Securities Offerings During Periods of Market and Price Volatility -
On February 8, the staff of the SEC’s Division of Corporation Finance (the Staff)...more
BROKER-DEALER -
FINRA New Rule 3241 Becomes Effective February 15 -
On February 15, Financial Industry Regulatory Authority (FINRA) new Rule 3241 — “Registered Person Being Named a Customer’s Beneficiary or Holding a...more
2/8/2021
/ Broker-Dealer ,
Compliance ,
Department of Justice (DOJ) ,
Enforcement Actions ,
EU ,
False Claims Act (FCA) ,
Federal Trade Commission (FTC) ,
Financial Industry Regulatory Authority (FINRA) ,
HM Treasury ,
Investment Adviser ,
Securities and Exchange Commission (SEC) ,
UK
BROKER-DEALER -
FINRA Requests Comments for Proposed Amendments to FINRA Rule 2165 -
On October 5, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 20-34, which requests comment on proposed...more
BROKER-DEALER -
SEC Amends Exchange Act Rule 15c2-11 to Enhance Retail Investor Protections and Modernize Governing Quotations for Over-the-Counter Securities -
On September 16, the Securities and Exchange Commission...more
SEC/CORPORATE -
NYSE Provides Temporary Relief From Shareholder Approval Requirements Due to COVID-19 -
On May 14, the Securities and Exchange Commission announced the adoption and immediate effectiveness of Section...more
BROKER-DEALER -
SEC Announces Formation of Cross-Divisional COVID-19 Market Monitoring Group -
On April 24, the Securities and Exchange Commission (SEC) announced the formation of an internal, crossdivision COVID-19...more
BROKER-DEALER -
FINRA Updates Guidance Regarding COVID-19 Developments -
In recent weeks, the Financial Industry Regulatory Authority (FINRA) has offered various forms of relief and published information in response to...more
SEC/CORPORATE -
SEC Approves Temporary NYSE Waiver of Stockholder Approval Rules to Facilitate Capital Raising in the Wake of COVID-19 -
On April 6, the Securities and Exchange Commission issued a release (the Release)...more
SEC/CORPORATE -
SEC Further Extends Filing Deadlines for Companies Impacted by COVID-19 -
On March 25, the Securities and Exchange Commission issued an order extending conditional relief (the Modified Order) for...more
BROKER-DEALER -
SEC Proposes to Modernize Infrastructure for NMS Securities Market Data -
On February 14, the Securities and Exchange Commission proposed to modernize the infrastructure for the collection,...more
BROKER-DEALER -
FINRA Issues Investor Alert Regarding Required Minimum Distributions -
The Financial Industry Regulatory Authority (FINRA) issued an Investor Alert regarding a new law raising the age for required...more
2/18/2020
/ Broker-Dealer ,
CFTC ,
Cryptoassets ,
Digital Assets ,
EMIR ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
IOSCO ,
MiFIR ,
National Futures Association ,
Required Minimum Distributions ,
SECURE Act
SEC/CORPORATE -
SEC Proposes Amendments to Financial Disclosure in Regulation S-K and Issues New Guidance -
On January 30, the Securities and Exchange Commission voted to propose amendments to certain financial...more
2/11/2020
/ AML/CFT ,
Antitrust Provisions ,
Broker-Dealer ,
CFTC ,
Corporate Governance ,
Disclosure Requirements ,
Environmental Social & Governance (ESG) ,
European Securities and Markets Authority (ESMA) ,
Federal Trade Commission (FTC) ,
Financial Industry Regulatory Authority (FINRA) ,
Hart-Scott-Rodino Act ,
MD&A Statements ,
New Guidance ,
Performance Standards ,
Publicly-Traded Companies ,
Regulation S-K ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Threshold Requirements
SEC/CORPORATE -
SEC Approves Amended Rule Change to FINRA Rule 5110 -
On December 23, 2019, the Securities and Exchange Commission approved the Financial Industry Regulatory Authority’s (FINRA) proposed amendments to...more
1/20/2020
/ Amended Rules ,
Auditor Independence ,
Broker-Dealer ,
CFTC ,
Disclosure Requirements ,
EU ,
FDIC ,
Filing Requirements ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
OCC ,
Securities and Exchange Commission (SEC)
BROKER-DEALER -
SEC Proposes Changes to Market Data Plans -
On January 8, the Securities and Exchange Commission (SEC) released a proposed order to improve the governance of National Market System (NMS) data plans...more
1/13/2020
/ Anti-Money Laundering ,
Banking Sector ,
Broker-Dealer ,
CFTC ,
Derivatives ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Markets ,
National Futures Association ,
National Market System (NMS) ,
Securities and Exchange Commission (SEC)