Michael Diver

Michael Diver

Katten Muchin Rosenman LLP

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FINRA Settles First Significant CAT Reporting Enforcement Action

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

9/8/2023  /  Broker-Dealer , Consolidated Audit Trail , Enforcement Actions , Financial Industry Regulatory Authority (FINRA) , Financial Institutions , Financial Markets , Financial Services Industry , Securities and Exchange Commission (SEC)

Financial Markets and Funds Quick Take | Issue 6

The SEC Remains in Search of and Is Looking for Finders - Much has been written on the topic of finders and arrangers of securities transactions, including when a person or entity acting as a finder (i.e., someone who...more

9/16/2022  /  Broker-Dealer , Chicago Mercantile Exchange (CME) , Financial Industry Regulatory Authority (FINRA) , Over The Counter Derivatives (OTC) , Proxy Statements , Securities and Exchange Commission (SEC) , Shareholder Rights , Shareholders

FINRA Proposes Trade Reporting Requirements for OTC Options Transactions

The Financial Industry Regulatory Authority (FINRA) released Regulatory Notice 22-14, which proposes to establish new trade reporting requirements for certain over-the-counter (OTC) options transactions. Listed options are...more

9/7/2022  /  Broker-Dealer , Financial Conduct Authority (FCA) , Financial Industry Regulatory Authority (FINRA) , Over The Counter Derivatives (OTC) , Securities and Exchange Commission (SEC)
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