News & Analysis as of September 20, 2024

Financial Industry Regulatory Authority (FINRA)

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The European Union is an economic and political partnership comprised of 27 nations within the Eurozone. The EU was established in 1948 to promote stability and cooperation among member states in the aftermath of WWII. The EU maintains a common currency as well as several intranational institutions, including the European Parliament and the European Commission. less -

Financial Markets and Funds Quick Take | Issue 30

Katten Muchin Rosenman LLP on 9/12/2024

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

Financial Markets and Funds Quick Take | Issue 23

Katten Muchin Rosenman LLP on 2/15/2024

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

Financial Markets and Funds Quick Take | Issue 22

Katten Muchin Rosenman LLP on 1/17/2024

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

Financial Markets and Funds Quick Take | Issue 21

Katten Muchin Rosenman LLP on 12/14/2023

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

Corporate & Financial Weekly Digest, Featuring Articles on Audit Regulations Under the HFCAA, Approval of the NFA's Swap Dealer...

Katten Muchin Rosenman LLP on 1/18/2021

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

Corporate & Financial Weekly Digest, Featuring Articles on FINRA's Review of Waiver and Rebate Systems and ESMA Publishes Draft...

Katten Muchin Rosenman LLP on 11/16/2020

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

Corporate & Financial Weekly Digest, Featuring Articles on SEC Amendments to Simplify Offering Exemptions, New FAQs for Post-Trade...

Katten Muchin Rosenman LLP on 11/9/2020

SEC/CORPORATE - SEC Approves Amendments to Harmonize and Simplify Offering Exemptions - On November 2, the Securities and Exchange Commission voted to adopt a set of amendments (the Amendments) to “harmonize, simplify...more

Corporate & Financial Weekly Digest, Featuring Articles on the SEC's Modernized Auditor Independence Rules, FINRA Guidance on...

Katten Muchin Rosenman LLP on 10/26/2020

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

Corporate & Financial Weekly Digest, Featuring Articles on the CFTC's Extension of No-Action Relief for Reporting Obligations...

Katten Muchin Rosenman LLP on 10/5/2020

BROKER-DEALER - FINRA Requests Comment on Proposed Proceeding Rule for Failures to Comply With Qualification Examinations Rules of Conduct, Registration Requirements and Eligibility Proceedings Rules - On September 22,...more

Corporate & Financial Weekly Digest, Featuring Articles on Modernized Disclosures by SEC for Banking Registrants, New Guidance by...

Katten Muchin Rosenman LLP on 9/21/2020

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

Corporate & Financial Weekly Digest, Featuring Articles on SEC Guidance on Expiring Confidential Treatment Orders and the CFTC's...

Katten Muchin Rosenman LLP on 9/14/2020

SEC/CORPORATE - SEC Division of Corporation Finance Issues Additional Guidance Related to Expiring Confidential Treatment Orders - On September 9, the Division of Corporation Finance (the Division) of the Securities and...more

Corporate & Financial Weekly Digest, Featuring Articles on FINRA Updates to Risk Disclosures and a Request for Comment on...

Katten Muchin Rosenman LLP on 8/24/2020

BROKER-DEALER - FINRA Releases an Updated Security Futures Risk Disclosure Statement - On August 14, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 20-28 that included an updated Security...more

Corporate & Financial Weekly Digest, Featuring Articles on New Standardized Approaches to Cybersecurity Preparedness, FINRA's...

Katten Muchin Rosenman LLP on 7/20/2020

SEC/CORPORATE - SEC Approves Extension of Temporary NYSE Waiver of Stockholder Approval Rules - Recently, the Securities and Exchange Commission issued a release (the Release) approving, with immediate effectiveness,...more

Corporate & Financial Weekly Digest, Featuring Articles on Additional LIBOR Replacement Materials from the ARRC, Amendments to...

Katten Muchin Rosenman LLP on 7/13/2020

BROKER-DEALER - FINRA Announces Updates to Interpretations of Margin Rule Regarding Control and Restricted Securities and Consolidation of Accounts - On July 2, the Financial Industry Regulatory Authority (FINRA) issued...more

Corporate & Financial Weekly Digest, Featuring Articles on FINRA Releases White Paper on Artificial Intelligence, OCC Promulgates...

Katten Muchin Rosenman LLP on 6/15/2020

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

Corporate & Financial Weekly Digest, Featuring Articles on Breaking News From the CFTC on Non-US CPO Registration Exemption and a...

Katten Muchin Rosenman LLP on 6/1/2020

BROKER-DEALER - SEC Amends CAT NMS Plan - On May 15, the Securities and Exchange Commission adopted amendments to the national market system plan governing the consolidated audit trail (the CAT NMS Plan). The Financial...more

Corporate & Financial Weekly Digest, Featuring Articles on Continued Changes by FINRA, CFTC and the NFA in Response to COVID-19...

Katten Muchin Rosenman LLP on 5/19/2020

BROKER-DEALER - FINRA Proposes Rule Change to Temporarily Amend Certain Timing, Method of Service and Other Procedural Requirements in FINRA Rules - On May 8, the Financial Industry Regulatory Authority (FINRA) filed...more

Corporate & Financial Weekly Digest Featuring Articles on SEC Issues Four FAQs on Conditional Relief Order, FINRA and NASAA Report...

Katten Muchin Rosenman LLP on 5/12/2020

SEC/CORPORATE - SEC Division of Corporation Finance Issues Four FAQs Addressing the SEC’s Conditional Relief Order - On May 4, the Securities and Exchange Commission’s Division of Corporation Finance (the Division)...more

Corporate & Financial Weekly Digest, Featuring Articles on Our New Fireside Chat and Rule Changes Stemming From COVID-19 Market...

Katten Muchin Rosenman LLP on 4/28/2020

BROKER-DEALER - FINRA Updates Guidance Regarding COVID-19 Developments - In recent weeks, the Financial Industry Regulatory Authority (FINRA) has offered various forms of relief and published information in response to...more

Corporate & Financial Weekly Digest, Featuring Articles on CFTC Rules Changes for Bankruptcy Rules and IOSCO Tackles Sustainable...

Katten Muchin Rosenman LLP on 4/21/2020

SEC/CORPORATE - SEC Approves Temporary NYSE Waiver of Stockholder Approval Rules to Facilitate Capital Raising in the Wake of COVID-19 - On April 6, the Securities and Exchange Commission issued a release (the Release)...more

Corporate & Financial Weekly Digest, Featuring Articles on SEC Approves Amendments to FINRA New Issue Rules, CFTC Announces...

Katten Muchin Rosenman LLP on 1/20/2020

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

Corporate & Financial Weekly Digest, Featuring Articles on SEC's Proposal to Amend OTC Securities Quotation Rule, FINRA's...

Katten Muchin Rosenman LLP on 10/7/2019

BROKER-DEALER - SEC Proposes to Amend Quotation Rule for OTC Securities - The Securities and Exchange Commission (SEC) has proposed to amend Rule 15c2-11, which governs the publication and submission of quotations by...more

Corporate & Financial Weekly Digest, Featuring Articles on a FINRA Warning on Imposter Websites and Proposed Rules Changes on...

Katten Muchin Rosenman LLP on 5/6/2019

BROKER-DEALER - SEC Extends Compliance Date for Regulation NMS Changes - The Securities and Exchange Commission has extended the compliance dates for amendments to Rule 606 of Regulation National Market System (NMS)...more

Corporate & Financial Weekly Digest, Featuring Articles on the SEC's New Framework for Cryptocurrencies and Fresh Guidance From...

Katten Muchin Rosenman LLP on 4/8/2019

BROKER-DEALER - Nasdaq Proposes Rule Change to SEC to Assume Operational Responsibility for Certain Investigation and Enforcement Functions Currently Performed by FINRA - On April 3, the Securities and Exchange...more

Corporate & Financial Weekly Digest, Featuring Articles About FINRA Notices on Cybersecurity and Margin Requirements and No-Deal...

Katten Muchin Rosenman LLP on 2/25/2019

BROKER-DEALER - FINRA Issues Information Notice Regarding Suspicious Email Sent to Member Firms - On February 13, the Financial Industry Regulatory Authority (FINRA) published an information notice alerting member firms...more

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