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

SEC’s Division of Trading and Markets Issues New FAQ Guidance on Broker-Dealer Custody and Net Capital Treatment of Cryptoassets

The Securities and Exchange Commission (SEC) has taken a significant step toward permitting broker-dealers to custody digital assets and toward accounting for such proprietary digital assets in a broker-dealer’s net capital...more

5/19/2025 / Broker-Dealer , Cryptoassets , Digital Assets , Financial Institutions , Financial Markets , Financial Regulatory Reform , New Guidance , Rulemaking Process , Securities and Exchange Commission (SEC) , Securities Regulation

Financial Markets and Funds Quick Take | Issue 37

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

4/17/2025 / CFTC , Digital Assets , Financial Industry Regulatory Authority (FINRA) , Financial Markets , Investment Advisers Act of 1940 , Investment Funds , Regulatory Requirements , Securities and Exchange Commission (SEC) , Securities Regulation , Stablecoins

FINRA Proposes and Seeks Comment on Simplified Rules for Outside Business Activities and Private Securities Transactions

On Friday, March 14, in Regulatory Notice 25-05, the Financial Industry Regulatory Authority (FINRA) proposed a new rule to address when registered individuals engage in activities away from their member firms and when...more

3/18/2025 / Broker-Dealer , Compliance , Financial Industry Regulatory Authority (FINRA) , Investment Adviser , Proposed Rules , Regulatory Reform , Regulatory Requirements , Rulemaking Process , Securities Regulation , Securities Transactions

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

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