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FINRA Publishes 2025 Annual Regulatory Oversight Report - A Window Into Best Practices and FINRA's Focus in a New Regulatory...

On January 28, the Financial Industry Regulatory Authority (FINRA) published the 2025 update to its annual Regulatory Oversight Report.1 The report collects recent observations and findings from FINRA's oversight programs –...more

Financial Markets and Funds Quick Take | Issue 33

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

Alpine v. FINRA Big News

On November 22, the US Court of Appeals for the District of Columbia Circuit granted Alpine a preliminary injunction, ruling that the Financial Industry Regulatory Authority (FINRA) cannot expel Alpine without the Securities...more

Financial Markets and Funds Quick Take | Issue 30

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

SEC Scrutiny into Cash Sweep Programs: What Investment Advisers Need to Know

In recent years, the US Securities and Exchange Commission (SEC) has initiated several probes into how advisory firms manage their cash sweep programs, which are designed to transfer idle cash from investment advisory...more

FINRA Unveils Key Insights on Member Firms’ Digital Asset Activities

The Financial Industry Regulatory Authority (FINRA) released a comprehensive update on its insights into its member firms’ involvement in crypto asset activities, revealing significant trends and compliance challenges in the...more

ESG Guidepost | Issue 16

Katten ESG Guidepost is a monthly publication highlighting the latest news, legal and regulatory developments involving environmental, social and governance matters....more

Supervising FINfluencers' Social Media Spin: Don't Believe Everything You View on Your Phone

In the all-encompassing age of social media, a new breed of influencers has emerged — FINfluencers (financial influencers). These individuals leverage their significant number of followers on social mediaon platforms such as...more

Financial Markets and Funds Quick Take | Issue 24

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

SEC Significantly Broadens "Dealer" Definition

Two new rules that significantly expand who may be required to register as a "dealer" or a "government securities dealer" were adopted by the Securities and Exchange Commission (SEC) on February 6, 2024. As a result of this...more

Financial Markets and Funds Quick Take | Issue 23

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

Fact Sheet for Certain Firms That Must Become FINRA Members

As background, the SEC adopted amendments to Rule 15b9-1 of the Securities Exchange Act of 1934 (SEA Rule 15b9-1) that require a broker-dealer to become a FINRA member if the broker-dealer effects transactions other than on...more

Financial Markets and Funds Quick Take | Issue 22

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

Neither a Borrower Nor a Lender Be!, Susan Light

FINRA filed a rule amendment with the SEC on January 2 to propose amending FINRA Rule 3240, Borrowing From or Lending to Customers (SR-FINRA-2024-001). This proposed rule amendment is designed to strengthen the general...more

Financial Markets and Funds Quick Take | Issue 21

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

FINRA Acts to Update its Advertising Rule

The Financial Industry Regulatory Authority filed a proposed rule change with the Securities and Exchange Commission on November 3, 2023, to amend FINRA Rule 2210. This amendment would allow a broker-dealer to project...more

Financial Markets and Funds Quick Take | Issue 18

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

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

FINRA Gains Greater Jurisdiction and Members: Amendments to SEC Rule 15b9-1 Will Require Most Proprietary Trading Broker-Dealers...

The Securities and Exchange Commission (SEC) recently adopted amendments to SEC Rule 15b9-1 that will require virtually every broker-dealer to become a Financial Industry Regulatory Authority (FINRA) member. With these...more

Finally Finally! FINRA Finalizes Amendments to Covered Agency Transaction Requirements Under FINRA's Margin Rule 4210

After seven years of extending the implementation date of the original rulemaking adopted in 2016 for Covered Agency Transactions, the SEC approved FINRA's amendments on July 27, 2023, and the amendments will become effective...more

SEC Narrows Exemption from FINRA Membership for Broker-Dealers

On August 23, 2023, the Securities and Exchange Commission (SEC) adopted amendments to SEC Rule 15b9-1 that effectively will require nearly all broker-dealers to become members of the Financial Industry Regulatory Authority...more

Recent DC Circuit Court of Appeals Case Brings FINRA to the Forefront of the SRO State Actor Controversy

A DC Circuit Court of Appeals challenge to a recent Financial Industry Regulatory Authority (FINRA) enforcement action brings into question whether FINRA should be held accountable to constitutional restrictions on state...more

Privacy, Data and Cybersecurity Quick Clicks | Issue 3

Ever-Expanding BIPA Damages: Illinois Supreme Court Holds Each Collection or Dissemination of Biometric Data Constitutes a Separate Violation of BIPA - In an eagerly-awaited decision in Cothron v. White Castle System,...more

Financial Markets and Funds Quick Take | Issue 12

FINRA Updates its Sweep on Social Media Influencers, Customer Acquisition and Related Information Protection - On February 28, the Financial Industry Regulatory Authority (FINRA) provided an update for its sweep on Social...more

Yet More Delays to FINRA's Proposed Rule Amendments to Rule 4210 Margin for Covered Agency Transactions

FINRA recently filed a proposed rule change with the SEC to yet again delay the implementation date to October 25, 2023, for amendments to Rule 4210 (Margin Requirements) for Covered Agency Transactions....more

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