Michael Lohnes

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

Texas Court Stays CAT Class Action, But Reporting Must Continue

On July 7, Judge Alan Albright of the US District Court for the Western District of Texas granted the Securities and Exchange Commission’s (SEC) motion to stay a class action by industry groups that challenges the...more

7/16/2025  /  Class Action , Financial Services Industry , Judicial Authority , Regulatory Requirements , Reporting Requirements , Securities and Exchange Commission (SEC) , Securities Regulation , Stays

SEC Signals Reevaluation of CAT Reporting Amid Broader Transparency and Regulatory Reform Efforts

Securities and Exchange Commission (SEC) Chairman Paul S. Atkins recently directed SEC staff to conduct a review of the Consolidated Audit Trail (CAT), focusing on the escalating costs, reporting requirements, and...more

5/30/2025  /  Cryptocurrency , Cybersecurity , Data Collection , Digital Assets , Financial Services Industry , Regulatory Reform , Regulatory Requirements , Reporting Requirements , Securities and Exchange Commission (SEC)

Financial Markets and Funds Quick Take | Issue 36

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

3/13/2025  /  CFTC , Cryptocurrency , Data Privacy , Digital Assets , Enforcement Actions , European Commission , Executive Orders , NYDFS , Reporting Requirements , Securities and Exchange Commission (SEC)

Privacy, Data and Cybersecurity Quick Clicks | Issue 26

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

2/27/2025  /  Artificial Intelligence , Consumer Financial Protection Bureau (CFPB) , Cybersecurity , Data Privacy , Enforcement Actions , EU , European Commission , European Data Protection Board (EDPB) , Reporting Requirements , Securities and Exchange Commission (SEC)

SEC Grants Further Relief From Including Personally Identifiable Information in CAT Reporting

On February 10, the Securities and Exchange Commission (SEC) granted relief exempting industry members from reporting a natural person’s name, address, and year of birth to the Consolidated Audit Trail (CAT). Industry members...more

2/14/2025  /  Cybersecurity , Data Privacy , Data Protection , Financial Services Industry , Investors , Personally Identifiable Information , Reporting Requirements , Risk Management , Securities and Exchange Commission (SEC)
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