Michael Lohnes

Katten Muchin Rosenman LLP

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FINRA Aligns CAT Timestamp Requirements with SEC Relief and Extension to 2030

The Financial Industry Regulatory Authority (FINRA) is updating Rule 6860(a)(2) so that industry members who use time stamps more granular than nanoseconds must continue to truncate (rather than round) those time stamps at...more

7/25/2025 / Amended Rules , Exemptions , Final Rules , Financial Industry Regulatory Authority (FINRA) , Financial Markets , Regulatory Requirements , Reporting Requirements , Securities and Exchange Commission (SEC) , Securities Regulation

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)

Market Trading Trends: Expect Regulatory Guidance to Accelerate

Gamification tactics and investment advice from social media influencers and chat rooms are just a couple of the disruptive technologies and behaviors that are capturing the attention of regulators in 2021 and forcing them to...more

11/26/2021 / Financial Markets , GameStop , Investment , Investment Adviser , Investment Management , Market Manipulation , Securities , Securities and Exchange Commission (SEC) , Stock Trades

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