Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more
9/12/2024
/ CFTC ,
Cryptoassets ,
Digital Assets ,
EU ,
Final Rules ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
FinCEN ,
Investment Adviser ,
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's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more
5/16/2024
/ Artificial Intelligence ,
CFTC ,
Department of Justice (DOJ) ,
Department of Labor (DOL) ,
EU ,
European Parliament ,
Fair Labor Standards Act (FLSA) ,
Financial Conduct Authority (FCA) ,
Hedge Funds ,
Sustainability ,
UK ,
Whistleblowers
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
2/15/2024
/ Banking Sector ,
CFTC ,
EU ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Financial Markets ,
Financial Services Industry ,
SCOTUS ,
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's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more
12/14/2023
/ Artificial Intelligence ,
CFTC ,
Cryptoassets ,
Cryptocurrency ,
EU ,
False Claims Act (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Markets ,
Machine Learning ,
Non-Fungible Tokens (NFTs) ,
Stablecoins ,
UK
Recent alleged recordkeeping failures resulted in aggregate fines in excess of $1.8 billion levied against 11 Wall Street financial institutions and many of their affiliated entities by the Securities and Exchange Commission...more
BROKER-DEALER -
FINRA Publishes 2021 Industry Spotlight -
On May 25, the Financial Industry Regulatory Authority (FINRA) published the 2021 FINRA Industry Spotlight (Industry Spotlight), which is FINRA’s annual...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 -
SEC Small Business Capital Formation Advisory Committee to Discuss Opportunities for Underrepresented Founders and Investors -
On April 26, the Securities and Exchange Commission announced that its Small...more
5/3/2021
/ Brokers ,
CFTC ,
Climate Change ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
HM Treasury ,
Investors ,
MiFID ,
Securities and Exchange Commission (SEC) ,
Small Business ,
Sustainability ,
UK
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)
BROKER-DEALER -
SEC Announces 2021 Examination Priorities -
On March 3, the Securities and Exchange Commission’s Division of Examinations announced its examination priorities for 2021. These priorities include a greater...more
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 -
Annual Verification in the FINRA Contact System Due January 27 -
The Financial Industry Regulatory Authority (FINRA) requires that each FINRA member complete an annual verification (the Annual...more
SEC/CORPORATE -
Holding Foreign Companies Accountable Act Signed Into Law by President Trump -
In December 2020, President Donald Trump signed into law the Holding Foreign Companies Accountable Act (the HFCAA). The...more
BROKER-DEALER -
SEC Adopts Clearing Agency Rule to Limit Potential for Overlapping or Duplicative Regulation -
On December 16, the Securities and Exchange Commission announced that it adopted a rule to limit the...more
BROKER-DEALER -
SEC Adopts Rules to Modernize Infrastructure for NMS Market Data -
On December 9, the Securities and Exchange Commission adopted final rules that aim to modernize the infrastructure related to the...more
SEC/CORPORATE -
SEC Adopts Amendments Permitting Use of Electronic Signatures for EDGAR Filings -
On November 17, the Securities and Exchange Commission adopted amendments to Regulation S-T to permit the use of...more
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