BROKER-DEALER -
FINRA Conducts Review of Waiver and Rebate Systems and Procedures with Respect to Mutual Fund ROR Purchases
The Financial Industry Regulatory Authority (FINRA) announced that it is conducting a review of...more
BROKER-DEALER -
SEC and CFTC Chairman Issue Joint Letter Regarding CFTC Orders Implicating Regulations A and D -
On October 23, Chairman Jay Clayton of the Securities and Exchange Commission and Chairman Heath P....more
SEC/CORPORATE -
SEC Adopts Amendments to Modernize Auditor Independence Rules -
On October 16, the Securities and Exchange Commission adopted amendments (the Amendments) to its long-standing auditor independence rules....more
CFTC -
CFTC Adopts New Position Limits Requirements -
On October 15, the Commodity Futures Trading Commission adopted new rules on position limits. As described in greater detail in Katten’s advisory, CFTC Adopts New...more
10/19/2020
/ Banks ,
CFTC ,
Enforcement Actions ,
EU ,
European Parliament ,
Federal Reserve ,
Financial Conduct Authority (FCA) ,
Popular ,
Prudential Regulation Authority (PRA) ,
Securities and Exchange Commission (SEC) ,
UK
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
CFTC -
CFTC Warns Customers About Precious Metal Schemes -
On August 4, the Commodity Futures Trading Commission’s Office of Customer Education and Outreach (the OCEO) issued a Customer Advisory regarding suspicious...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
SEC/CORPORATE -
SEC Division of Corporation Finance Issues Additional Disclosure Guidance Related to COVID-19 Pandemic -
On June 23, the Division of Corporation Finance (the Division) of the Securities and Exchange...more
6/29/2020
/ CFTC ,
EU ,
False Claims Act (FCA) ,
FDIC ,
HM Treasury ,
NFA ,
Prudential Regulation Authority (PRA) ,
Securities and Exchange Commission (SEC) ,
UK ,
UK Brexit ,
Volcker Rule
BROKER-DEALER -
FINRA Revises Problem Codes for Reporting Customer Complaints and for Filing Documents Online -
On June 10, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 20-17, which...more
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 -
FINRA Expands Transparency Initiative Related to OTC Equity Trading Volume -
The Financial Industry Regulatory Authority (FINRA) previously announced an expansion to its ongoing transparency initiative...more
12/9/2019
/ Banking Sector ,
Broker-Dealer ,
CFTC ,
Cross-Border Transactions ,
Derivatives ,
European Securities and Markets Authority (ESMA) ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Management ,
MiFID II ,
NFA ,
Securities and Exchange Commission (SEC)
BROKER-DEALER -
SEC Chairman Clayton and Trading and Markets Director Redfearn Call for a Reassessment of Regulation NMS -
On March 8, US Securities and Exchange Commission chairman Jay Clayton and director, Division...more
3/11/2019
/ Alternative Trading System (ATS) ,
Antitrust Provisions ,
Basel Committee on Banking Supervision (BCBS) ,
Broker-Dealer ,
CFTC ,
Derivatives ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Hart-Scott-Rodino Act ,
IOSCO ,
ISDA ,
Margin Requirements ,
MiFIR ,
National Futures Association ,
No-Deal Brexit ,
Packaged Retail And Insurance-Based Investment Products (PRIIPS) ,
Regulation NMS ,
Securities and Exchange Commission (SEC) ,
Stock Exchange ,
Truth in Lending Act (TILA) ,
UK Brexit
SEC/CORPORATE -
California Adopts Law Regarding Female Representation on Boards of Directors of Publicly Held Companies -
On September 30, California Governor Jerry Brown signed into law California Senate Bill 826 (SB...more
10/8/2018
/ Australia ,
Bank Secrecy Act ,
Benchmarks ,
Board of Directors ,
CFTC ,
Commodity Trading Advisors (CTAs) ,
Corporate Governance ,
CPOs ,
Cross-Border Transactions ,
Diversity ,
EU Market Abuse Regulation (EU MAR) ,
FinTech ,
Gender Equity ,
Libor ,
MiFID II ,
MiFIR ,
Swaps ,
UK Brexit ,
Woman Board Members
In this issue:
- SEC Chair Directs Staff to Review Commission Rule Excluding Conflicting Proxy Proposals
- SEC Comments on FINRA's Proposed Rule Amendment to Increase Pricing Disclosure
- CFTC Grants...more
1/26/2015
/ Broker-Dealer ,
Canada ,
CFTC ,
Class Action ,
Conflicts of Interest ,
European Securities and Markets Authority (ESMA) ,
Financial Industry Regulatory Authority (FINRA) ,
Forex ,
Hart-Scott-Rodino Act ,
Hong Kong ,
Mary Jo White ,
Mexico ,
Mining ,
Mortgages ,
NFA ,
OCC ,
Proposed Regulation ,
Proxy Access Rule ,
PSLRA ,
Scienter ,
Securities ,
Securities and Exchange Commission (SEC) ,
Shareholder Proposals ,
Threshold Requirements ,
Whole Foods
In this issue:
- Delaware Chancery Court Declines to Dismiss Fraud Claims Against Private Equity Fund and Directors
- Agencies Amend Regulatory Capital and Liquidity Coverage Ratio Rules
- FINRA Proposes...more
12/22/2014
/ Affiliates ,
Banking Sector ,
Banks ,
Bitcoin ,
BitLicense ,
Capital Requirements ,
CFTC ,
CPOs ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Financial Markets ,
Fraud ,
Liquidity Coverage Ratio ,
Market Participants ,
NFA ,
Private Equity Funds ,
Push-Out Requirements ,
Recordkeeping Requirements ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Swaps ,
Whistleblower Protection Policies
In this issue:
- FTC Announces New Filing Thresholds for Hart-Scott-Rodino Pre-Merger Notifications
- SEC Division of Corporation Finance Issues Three C&DIs Relating to “Unbundling Rule”
- NFA Members...more
2/4/2014
/ Bitcoin ,
Bundling Rules ,
CFTC ,
Derivative Suit ,
Federal Trade Commission (FTC) ,
FinCEN ,
Hart-Scott-Rodino Act ,
Insider Trading ,
NFA ,
Pre-Merger Filing Requirements ,
Securities and Exchange Commission (SEC) ,
Shareholder Litigation ,
Shareholders ,
The Clayton Act ,
Virtual Currency