Robert Bourret

Katten Muchin Rosenman LLP

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SEC Revises Tick Size, Access Fees and Round-Lot Definition and Takes Steps to Disseminate Odd-Lot and Other Better Priced Orders

On September 18, the Securities and Exchange Commission (SEC or the Commission) adopted amendments to Rule 612 (Tick Sizes) and Rule 610 (Access Fees) under Regulation NMS under the Securities Exchange Act of 1934, as amended...more

9/24/2024 / Broker-Dealer , Financial Services Industry , Securities and Exchange Commission (SEC) , Securities Exchange Act of 1934 , Securities Exchanges , Securities Regulation , Securities Traders , Tick Size

The Lesson of Prometheus – A Special Purpose Broker Dealer May Cause Havoc in TradFi by Unilaterally Declaring ETH To Be A...

As referenced in the opening scene of the 2023 Oscar-winning film Oppenheimer, Prometheus, the Greek god of forethought, is best known for stealing fire from the gods to give to humanity. As punishment, Zeus had Prometheus...more

3/12/2024 / Broker-Dealer , CFTC , Digital Assets , Financial Industry Regulatory Authority (FINRA) , Investment Adviser , Securities , Securities and Exchange Commission (SEC)

SEC Significantly Broadens "Dealer" Definition

Two new rules that significantly expand who may be required to register as a "dealer" or a "government securities dealer" were adopted by the Securities and Exchange Commission (SEC) on February 6, 2024. As a result of this...more

2/26/2024 / Broker-Dealer , Financial Industry Regulatory Authority (FINRA) , Investment Adviser , Securities and Exchange Commission (SEC) , Securities Traders

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