Nicholas Gervasi

Nicholas Gervasi

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)

SEC Reporting Parties Can Continue Following CFTC Reporting Rules When Reporting Security-Based Swap Data Until 2029

As a result of the Securities and Exchange Commission (SEC or the Commission) recently extending relief that the Commission originally granted under its 2019 Compliance Statement, security-based swap (SBS) market participants...more

5/19/2025  /  CFTC , Enforcement Actions , Financial Markets , Reporting Requirements , Securities and Exchange Commission (SEC) , Security-Based Swaps

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)

Foreign Listed Stock Index Futures and Options Approvals

Attached please find the updated Foreign Listed Stock Index Futures and Options Approvals Chart, current as of November 8, 2024. All prior versions are superseded and should be discarded. Please note the following...more

11/8/2024  /  Capital Markets , Disclosure Requirements , Financial Regulatory Reform , Financial Services Industry , Investment , Investors , Reporting Requirements , Securities and Exchange Commission (SEC) , Securities Regulation
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