Reporting Requirements, Securities and Exchange Commission (SEC), Personally Identifiable Information

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

Katten Muchin Rosenman LLP on 2/14/2025

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

SEC Revamps and Enhances Data Protections with Amendments to Regulation S-P

Foley Hoag LLP - Security, Privacy and the... on 5/30/2024

The Securities and Exchange Commission (“SEC”) has announced the adoption of amendments to Regulation S-P (“Amendments”) to modernize and enhance the rules that govern the treatment of consumers’ nonpublic personal...more

SEC Pushes Forward Proposes Amendments to the CAT

Kilpatrick on 11/21/2019

In 2016, the SEC voted to create a comprehensive, consolidated audit trail (“CAT”) designed to allow regulators to efficiently and accurately track activity throughout the U.S. markets in National Market System (“NMS”)...more

No More CTRs! (and Other SEC Updates to Modernize and Simplify Disclosure for Public Companies)

Fenwick & West LLP on 4/4/2019

On March 20, 2019, the Securities and Exchange Commission (SEC) adopted amendments to existing rules to modernize and simplify its disclosure obligations. The most significant changes relate to the new streamlined process for...more

Everything Public Companies Need to Know About Recent SEC Amendments

Bass, Berry & Sims PLC on 4/3/2019

Nearly a year and a half after proposing them, the SEC recently adopted amendments to disclosure requirements for reporting companies, as mandated by the 2015 Fixing America’s Surface Transportation Act (the FAST Act). These...more

A Compilation of Enforcement and Non-Enforcement Actions

Foley & Lardner LLP on 10/1/2015

Non-Enforcement Cybersecurity Is At the Top of SEC Examination Concerns In a recent SEC “risk alert” for registered broker-dealers and investment advisers, the SEC’s Office of Compliance Inspections and Examinations (OCIE)...more