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Expanding retail access to private markets and alternative investments is top of mind for the current administration and Congress. To...
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Regulatory silos are coming down. In what marks the third joint announcement by the two primary US financial regulatory agencies in less...
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The Commodity Futures Trading Commission (CFTC or Commission) made waves on March 12 with two pivotal releases intended to shape the...
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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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For the first time in nearly a decade, the Securities and Exchange Commission (SEC) updated its Enforcement Manual (Manual), which has...
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In an unusual move, the Commodity Futures Trading Commission’s (CFTC or Commission) Division of Enforcement (Division) issued an advisory...
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The Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) (together, the Regulators) have published parallel...
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Prediction markets have drawn increased attention from both market participants and regulatory bodies, as trading volumes on these...
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On 29 January 2026, Katten sponsored the London Tokenisation Summit (TOK26) in London, bringing together leading voices in digital assets...
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On January 15, Staff from the Securities and Exchange Commission (SEC) published two new frequently asked questions (FAQs) related to the...
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Investment advisers may request confidential treatment of certain information in Form ADV and other filings under the Investment Advisers...
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On January 7, the Securities and Exchange Commission (SEC) proposed amendments (the Proposal) to raise the small entity thresholds for...
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On 19 December 2025, the Financial Conduct Authority (FCA) published a policy statement (PS25/24) finalising the rules and guidance for...
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On 16 December 2025, the Financial Conduct Authority (FCA) published a comprehensive set of proposals to formally regulate the...
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On 8 December 2025, the Financial Conduct Authority (FCA) published a consultation paper (CP25/36) proposing significant changes to the...