News & Analysis as of

European Commission Commodities Futures Trading Commission Investment Adviser

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on FINRA's Advice to Firms on Protecting Customers from Online Account...

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

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on CFTC Guidance for Futures Commission Merchants on Risk Assessments and...

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

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on ESG and Climate-Risk Disclosure Initiatives from the SEC, CFTC European...

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

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest Featuring Articles on the Latest SEC Guidance and Enforcement Actions

SEC/CORPORATE - SEC Division of Corporation Finance Issues C&DIs Regarding Inline XBRL - On August 20, the staff of the Division of Corporation Finance (the staff) of the Securities and Exchange Commission released...more

Orrick, Herrington & Sutcliffe LLP

Orrick's Financial Industry Week in Review

SEC Adopts Trade Acknowledgment and Verification Rules for Security-Based Swap Transactions - On June 8, 2016, the Securities and Exchange Commission publicized the implementation of "rules that will establish timely and...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest - Volume X, Issue 22

In This Issue: - SEC Staff Releases Analysis Related to Pay Ratio Disclosure Rules - States Challenge Blue Sky Preemption Under Regulation A+ - FINRA Proposes Revised BrokerCheck Hyperlink Rule -...more

Katten Muchin Rosenman LLP

Bridging the Week - February 2015 #2

Industry Watchdogs Warn Brokers and Advisory Firms on Cybersecurity Threats - Both the Securities and Exchange Commission and the Financial Industry Regulatory Authority published observations of their review of...more

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