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Financial Markets and Funds Quick Take | Issue 17

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

SEC Proposes Rules for IAs/BDs Regarding Digital Engagement Practices ("Gamification") and Proposes Amendments Regarding...

On July 26, the Securities and Exchange Commission ("SEC") voted 3-2 in favor of proposing new rules and amendments designed to address certain conflicts of interest associated with the use of predicative data analytics...more

Spotlight on Investment Advisers, Broker-Dealers and Certain Funds

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

Katten Financial Markets and Funds Quick Take | Issue 15

Four Key Considerations Since SEC Amended Form PF - In early May, the Securities and Exchange Commission (SEC) adopted a final rule amending Form PF, the confidential reporting form for certain SEC-registered investment...more

Four Key Considerations Since SEC Amended Form PF

In early May, the SEC adopted a final rule amending Form PF, the confidential reporting form for certain SEC-registered investment advisers to private funds. Form PF is designed to facilitate both the Financial Stability...more

Financial Markets and Funds Quick Take | Issue 14

Daniel Davis Shares Views on Digital Asset Regulation During House Subcommittee Hearing - In testimony before the US House of Representatives Subcommittee on Commodity Markets, Digital Assets, and Rural Development, Daniel...more

SEC Adopts Final Rule Amendments to Form PF

Editor's Note: This post provides a brief overview of the SEC's final rule. A more detailed discussion of the amendments will be covered in an upcoming Katten publication. On May 3, the Securities and Exchange Commission...more

Financial Markets and Funds Quick Take | Issue 13

NFTs and the Enduring Allure of Digital Collectibles - This is the first article of a series by Katten attorneys examining non-fungible tokens (NFTs) and various novel legal issues raised by NFTs, including in copyright...more

SEC Proposes Changes to Trio of Cybersecurity Rules

On March 15, the Securities and Exchange Commission ("Commission") addressed continuing concerns regarding cybersecurity risks by proposing amendments to Regulation S-P and Regulation SCI, and proposing a new rule and form...more

Financial Markets and Funds Quick Take | Issue 11

SEC Announces Inspection Priorities for 2023 - On February 7, the Securities and Exchange Commission (SEC) announced its inspection priorities for the current year. The announcement began by noting that the SEC examined 15...more

SEC Proposes Amendments to the Custody Rule

On February 15, the Securities and Exchange Commission (SEC) voted 4-1 to propose amendments to the Custody Rule under the Advisers Act (last amended in 2009 following the Bernard Madoff and Allen Stanford frauds). Over time,...more

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