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At the recent Crypto with Katten symposium, co-sponsored with the Investment Advisers Association (IAA), Katten hosted a panel on “The...
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The SEC’s Division of Examinations(Division) issued a Risk Alert on June 9, highlighting its observations during a review of the economic...
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On June 3, 2026, the Commodity Futures Trading Commission (the CFTC or Commission) rescinded its longstanding policy requiring defendants...
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Closing bells may soon be a thing of the past in US derivatives markets. In Advisory Letter No. 26-16 (the Advisory), the Commodity...
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Last week, the Supreme Court held that federal courts that compel arbitration and stay a case pending completion of that arbitration...
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On May 18, 2026, the Securities and Exchange Commission (SEC) announced that it had rescinded its longstanding “no-deny” (gag) settlement...
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On April 16, the Securities and Exchange Commission (SEC) issued a concept release soliciting public comment on a comprehensive review of...
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For futures commission merchants (FCMs) that are clearing members of the Chicago Mercantile Exchange, it’s that time of year: Time for...
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The Securities and Exchange Commission (SEC) approved the joint industry proposal (Proposed Amendment), spearheaded by Consolidated Audit...
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Financial Industry Regulatory Authority (FINRA) President and CEO Robert Cook spoke at the 2026 SIFMA Compliance & Legal Annual...
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In a candid fireside chat at the 2026 SIFMA Compliance and Legal Annual Conference, Securities and Exchange Commission (SEC or...
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Responding to concerns raised and longstanding debates over how the Financial Industry Regulatory Authority’s (FINRA) arbitration forum...
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The Financial Industry Regulatory Authority (FINRA) announced changes to its enforcement program on March 2, as part of its broader...
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On Wednesday, December 17, the SEC’s Division of Trading and Markets (Division) issued a helpful statement (the Statement) to clarify its...
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Earlier this year, the US Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) adopted rules imposing anti-money...
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On May 16, 2024, the Securities and Exchange Commission (SEC) unanimously approved amendments to Regulation S-P, which imposes new rules...