Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more
Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more
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
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
On August 16, Instinet, LLC (Instinet or the Firm) agreed to pay a $3.8 million fine to settle an enforcement action with the Financial Industry Regulatory Authority (FINRA) regarding its alleged failure to comply with...more
A DC Circuit Court of Appeals challenge to a recent Financial Industry Regulatory Authority (FINRA) enforcement action brings into question whether FINRA should be held accountable to constitutional restrictions on state...more
On February 7, the Securities and Exchange Commission’s (SEC) Division of Examinations (Division) published its examination priorities for 2023.1 According to this statement, the Division’s mission is to promote compliance,...more
Almost all proprietary trading firms that are currently registered as broker-dealers with the Securities and Exchange Commission (SEC) would likely be required to join the Financial Industry Regulatory Authority (FINRA) under...more
The Commodity Futures Trading Commission (CFTC) recently adopted final amendments to Part 190 of the CFTC's regulations (the "Final Rules"), governing bankruptcy proceedings with respect to commodity brokers.1 The Final Rules...more
CFTC -
CFTC Adopts New Position Limits Requirements -
On October 15, the Commodity Futures Trading Commission adopted new rules on position limits. As described in greater detail in Katten’s advisory, CFTC Adopts New...more
10/19/2020
/ Banks ,
CFTC ,
Enforcement Actions ,
EU ,
European Parliament ,
Federal Reserve ,
Financial Conduct Authority (FCA) ,
Popular ,
Prudential Regulation Authority (PRA) ,
Securities and Exchange Commission (SEC) ,
UK
Eight years after the Commodity Futures Trading Commission (CFTC or Commission) established a comprehensive swap data reporting and public dissemination regulatory regime, on September 17, the Commission adopted extensive...more
Key Points -
- This Katten Advisory focuses on the impact of the COVID-19 outbreak on regulatory compliance obligations of financial firms operating in the United States, with a focus on securities and derivatives industry...more
3/21/2020
/ Business Continuity Plans ,
Centers for Disease Control and Prevention (CDC) ,
CFTC ,
Coronavirus/COVID-19 ,
Enforcement ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Services Industry ,
National Futures Association ,
Relief Measures ,
Securities and Exchange Commission (SEC) ,
World Health Organization
In this issue:
- Update: Proposed Amendments to DGCL, Including Ban on Fee-Shifting and Permitting Exclusive Forum Provisions
- CFTC and Australian Regulator Sign Memorandum of Understanding Regarding...more
4/20/2015
/ Bank Holding Company ,
CFTC ,
Debt Financing ,
Debt Securities ,
Delaware General Corporation Law ,
Enforcement Actions ,
Federal Reserve ,
Federal Sentencing Guidelines ,
Fee-Shifting ,
Financial Conduct Authority (FCA) ,
Insider Trading ,
Memorandum of Understanding ,
Proposed Amendments ,
Securities and Exchange Commission (SEC) ,
Sentencing Enhancements ,
White Collar Crimes
In this issue:
- SEC Sanctions 10 Companies for Disclosure Failures Surrounding Financing Deals and Stock Dilution
- Delaware Court of Chancery Rejects Entire Fairness Review in Absence of Conflicted...more
11/10/2014
/ CFTC ,
Compliance ,
Dilution ,
Disclosure Requirements ,
Enforcement ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Financing ,
Futures Commission Merchants (FCMs) ,
Mutual Funds ,
NFA ,
Recordkeeping Requirements ,
Securities and Exchange Commission (SEC) ,
UK ,
Virtual Currency
In this issue:
- CME Delays Prohibition on Transitory EFRPs
- JAC Issues Guidance on Margin Funds
- CFTC Hands Out First Whistleblower Award
- NFA Adopts Fee for Registration...more
5/27/2014
/ Broker-Dealer ,
CFTC ,
Chicago Mercantile Exchange (CME) ,
Compliance ,
Disclosure Requirements ,
Energy Sector ,
Enforcement Actions ,
Fees ,
Financial Regulatory Reform ,
Margin Requirements ,
NFA ,
Non-Disclosure Agreement ,
Oil & Gas ,
Securities and Exchange Commission (SEC) ,
Whistleblower Awards ,
Whistleblower Protection Policies ,
Whistleblowers