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Rulemaking Process Broker-Dealer Administrative Procedure Act

Katten Muchin Rosenman LLP

A CAT-astrophic Funding Model? Court Sends SEC Back to the Drawing Board

The US Court of Appeals for the Eleventh Circuit (Eleventh Circuit) recently vacated the Securities and Exchange Commission’s (SEC) 2023 funding order for the Consolidated Audit Trail (CAT) (the 2023 Funding Order), stayed...more

Allen Matkins

Is Artificial Intelligence The Future Of Rulemaking?

Allen Matkins on

Earlier this year, the Securities and Exchange Commission proposed a new rule establishing a standard of conduct for broker-dealers and natural persons who are associated persons of a broker-dealer when making a...more

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