Wayne Aaron

Katten Muchin Rosenman LLP

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Financial Markets and Funds Quick Take | Issue 38

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

5/21/2025 / CFTC , Cryptocurrency , Enforcement Actions , Financial Institutions , Financial Markets , Financial Regulatory Reform , Government Agencies , Investment Funds , Regulatory Reform , Securities Regulation

Financial Markets and Funds Quick Take | Issue 36

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

3/13/2025 / CFTC , Cryptocurrency , Data Privacy , Digital Assets , Enforcement Actions , European Commission , Executive Orders , NYDFS , Reporting Requirements , Securities and Exchange Commission (SEC)

Privacy, Data and Cybersecurity Quick Clicks | Issue 26

Katten's Privacy, Data and Cybersecurity Quick Clicks is a monthly newsletter highlighting the latest news and legal developments involving privacy, data and cybersecurity issues across the globe....more

2/27/2025 / Artificial Intelligence , Consumer Financial Protection Bureau (CFPB) , Cybersecurity , Data Privacy , Enforcement Actions , EU , European Commission , European Data Protection Board (EDPB) , Reporting Requirements , Securities and Exchange Commission (SEC)

FINRA Publishes 2025 Annual Regulatory Oversight Report - A Window Into Best Practices and FINRA's Focus in a New Regulatory...

On January 28, the Financial Industry Regulatory Authority (FINRA) published the 2025 update to its annual Regulatory Oversight Report.1 The report collects recent observations and findings from FINRA's oversight programs –...more

1/31/2025 / Artificial Intelligence , Best Practices , Cybersecurity , Enforcement Actions , Financial Industry Regulatory Authority (FINRA) , Regulatory Oversight , Risk Management , Third-Party Risk

The SEC Lives On Under New Leadership — What to Expect

President-elect Donald J. Trump nominated Paul Atkins to succeed Gary Gensler as Securities and Exchange Commission (SEC or Commission) Chair on December 4. Atkins was an SEC staff attorney under SEC Chairs Richard Breeden...more

12/17/2024 / Broker-Dealer , Compliance , Enforcement Actions , Financial Industry Regulatory Authority (FINRA) , Investment Adviser , Retail Investors , Rulemaking Process , Securities and Exchange Commission (SEC) , Whistleblowers

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