Michael Lohnes

Michael Lohnes

Katten Muchin Rosenman LLP

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Financial Markets and Funds Quick Take | Issue 39

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

6/26/2025  /  CFTC , Cryptocurrency , Financial Institutions , Financial Markets , Investment Funds , Private Funds , Proposed Rules , Regulatory Reform , Regulatory Requirements , Securities and Exchange Commission (SEC)

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)

FINRA Proposes Changes to Arbitrator List Selection Process

The Financial Industry Regulatory Authority (FINRA) recently proposed several rule changes aimed at “provid[ing] greater transparency and consistency” with respect to the arbitrator list selection process administered by...more

3/22/2023  /  Arbitration , Banks , Broker-Dealer , Financial Industry Regulatory Authority (FINRA) , Financial Institutions , Financial Services Industry , Securities and Exchange Commission (SEC)
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