News & Analysis as of September 20, 2024

European Union › 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

SEC Adopts New Securities Lending Reporting Rule

Proskauer Rose LLP on 10/30/2023

On October 13, 2023, the Securities and Exchange Commission (the “SEC”) adopted new Rule 10c-1a (the “Securities Lending Rule”), requiring the reporting of certain securities lending transactions. Certain material terms of...more

Privacy, Data and Cybersecurity Quick Clicks | Issue 3

Katten Muchin Rosenman LLP on 3/22/2023

Ever-Expanding BIPA Damages: Illinois Supreme Court Holds Each Collection or Dissemination of Biometric Data Constitutes a Separate Violation of BIPA - In an eagerly-awaited decision in Cothron v. White Castle System,...more

Daily Financial Regulation Update -- Friday, July 15, 2022

Paul Hastings LLP on 7/15/2022

The U.S. Senate Committee on Banking, Housing, and Urban Affairs held a hearing entitled, "Advancing National Security and Foreign Policy Through Export Controls: Oversight of the Bureau of Industry and Security."...more

Daily Financial Regulation Update -- Wednesday, June 15, 2022

Paul Hastings LLP on 6/15/2022

Congress- U.S. Senate- Committee on Banking, Housing, and Urban Affairs- Hearing: Considering the Index Fund Voting Process-...more

[Webcast Transcript] From Strategy to Tactics: Data Remediation at Private Equity and Hedge Funds

HaystackID on 4/29/2022

On April 20, HaystackID shared an educational webcast developed to discuss best practices for handling big data and provide tangible field-experienced methods for data remediation. These best practices can be implemented at...more

FINRA Adopts New Rules to Address Firm Misconduct

Goodwin on 9/30/2021

In This Issue. The Financial Industry Regulatory Authority (FINRA) adopted new rules to address firms with a significant history of misconduct; the Securities and Exchange Commission (SEC) issued an order approving rule...more

Fintech Legal Report - August 2021

Perkins Coie on 9/2/2021

Senators Inquire about CFPB’s Fintech Agenda - On July 27, 2021, Senator Sherrod Brown, the Chairman of the U.S. Senate Committee on Banking, Housing, and Urban Affairs, sent a letter to the Consumer Financial Protection...more

Corporate & Financial Weekly Digest, Featuring Articles on FINRA's Proposed Supplemental Liquidity Schedule and ESMA's Exploration...

Katten Muchin Rosenman LLP on 5/24/2021

BROKER-DEALER - Notice of Filing of a Proposed Rule Change to Adopt a Supplemental Liquidity Schedule - The Securities and Exchange Commission is seeking comments on a Financial Industry Regulatory Authority (FINRA)...more

2020 and Q1 2021 Developments And Annual Compliance Checklists

Lowenstein Sandler LLP on 4/1/2021

Summaries of recent legislative and regulatory developments with respect to: •The SEC’s Examination Priorities for 2021- •The SEC’s Focus on Digital Asset Securities- •The SEC’s New Marketing Rule... ...more

Corporate & Financial Weekly Digest, Featuring Articles on SEC launches new website page on ESG investing and UK FCA launches new...

Katten Muchin Rosenman LLP on 3/29/2021

BROKER-DEALER - SEC Issues Amendments, Seeks Public Comment on Holding Foreign Companies Accountable Act - On March 24, the Securities and Exchange Commission adopted interim final amendments to implement...more

Corporate & Financial Weekly Digest, Featuring Articles on the SEC's Plan to Review Climate-Change Disclosures and Clarity From...

Katten Muchin Rosenman LLP on 3/1/2021

SEC/CORPORATE - Acting SEC Chair Issues Statement on Climate-Change Disclosures - On February 24, acting Chair of the Securities and Exchange Commission Allison Herren Lee issued a statement that she has directed the...more

Corporate & Financial Weekly Digest, Featuring Articles on Fee Changes at FINRA and a MiFID II COVID-19 "Quick Fix"

Katten Muchin Rosenman LLP on 2/22/2021

BROKER-DEALER - FINRA Amends Arbitration Codes to Increase Arbitrator Chairperson Fees and Certain Arbitration Fees - On February 12, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 21-04...more

Important Dates and Reminders For Investment Advisers, Exempt Reporting Advisers, Commodity Trading Advisors and Commodity Pool...

Foley Hoag LLP on 2/12/2021

INVESTMENT ADVISERS - Annual Compliance Reviews - All investment advisers registered with the Securities and Exchange Commission (“SEC”) or at the state level, are required to review their compliance policies and...more

Corporate & Financial Weekly Digest, Featuring Articles on New Rule 3241 from FINRA, Requests for Comment from the SEC on Money...

Katten Muchin Rosenman LLP on 2/8/2021

BROKER-DEALER - FINRA New Rule 3241 Becomes Effective February 15 - On February 15, Financial Industry Regulatory Authority (FINRA) new Rule 3241 — “Registered Person Being Named a Customer’s Beneficiary or Holding a...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

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European Union › Financial Industry Regulatory Authority (FINRA)

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