Katten - Your business drives us. Results define us.

3/24/2026 2:32:13 PM

FINRA President and CEO Robert Cook Provides Update on ‘FINRA Forward’ at the SIFMA Compliance & Legal 2026 Annual Conference

By Zachary Schmitz

Financial Industry Regulatory Authority (FINRA) President and CEO Robert Cook spoke at the 2026 SIFMA Compliance & Legal Annual...

3/23/2026 4:04:57 PM

SEC Chairman Atkins Outlines Vision and Priorities at SIFMA Compliance and Legal 2026 Annual Conference

By Zachary Schmitz Carl Kennedy Matt Kluchenek +1 more...

In a candid fireside chat at the 2026 SIFMA Compliance and Legal Annual Conference, Securities and Exchange Commission (SEC or...

3/16/2026 2:32:30 PM

Tilting At Windmills: Defending Overconcentration Claims In Today’s Index-Driven Equity Markets

By David Goldberg Zachary Schmitz Alexa Warner

“It is the part of a wise man to keep himself today for tomorrow and not venture all his eggs in one basket.” Miguel de Cervantes, Don...

3/13/2026 10:04:49 PM

Private Markets Go Public: Inside the SEC’s Push for Retail Participation

By Michael Didiuk Kevin Broughel Adam Bolter +1 more...

Expanding retail access to private markets and alternative investments is top of mind for the current administration and Congress. To...

3/13/2026 9:23:36 PM

Common Ground: The SEC and CFTC Enter Historic Memorandum of Understanding Aimed at Harmonizing Regulatory Interests

By Zachary Schmitz Carl Kennedy Michael Didiuk +4 more...

Regulatory silos are coming down. In what marks the third joint announcement by the two primary US financial regulatory agencies in less...

3/4/2026 4:04:45 PM

Reimagining Securities Arbitration: FINRA Launches Broad Review of Arbitration Rules and Requests Comment on Modernization Initiative

By Zachary Schmitz David Goldberg Susan Light +2 more...

Responding to concerns raised and longstanding debates over how the Financial Industry Regulatory Authority’s (FINRA) arbitration forum...

3/4/2026 3:55:58 PM

FINRA Unveils Changes to Enforcement Program to Increase Transparency and Efficiency

By Zachary Schmitz Susan Light David Goldberg +1 more...

The Financial Industry Regulatory Authority (FINRA) announced changes to its enforcement program on March 2, as part of its broader...

2/26/2026 8:08:44 PM

SEC Enforcement Gets a Refresh: Updates to Enforcement Manual Focus on Transparency and Fairness

By Zachary Schmitz Peter Wilson Ben Levine +1 more...

For the first time in nearly a decade, the Securities and Exchange Commission (SEC) updated its Enforcement Manual (Manual), which has...

2/26/2026 3:38:29 PM

Know the Outcome? Don't Trade: CFTC Puts Prediction Markets on Notice

By Zachary Schmitz Carl Kennedy Matt Kluchenek +1 more...

In an unusual move, the Commodity Futures Trading Commission’s (CFTC or Commission) Division of Enforcement (Division) issued an advisory...

12/19/2025 10:02:02 PM

SEC Staff Issues Helpful Guidance on Custodying Digital Asset Securities and Complying with the Customer Protection Rule

By Wayne Aaron Michael Didiuk

On Wednesday, December 17, the SEC’s Division of Trading and Markets (Division) issued a helpful statement (the Statement) to clarify its...

12/17/2025 7:05:33 PM

SEC Risk Alert on the Advisers Act Marketing Rule

By Richard Marshall

On December 16, the Securities and Exchange Commission (SEC) published a risk alert on the adviser marketing rule. This is the first...

12/17/2025 6:37:22 PM

SEC Extends Relief Allowing Brokers to Rely on Advisers for AML Compliance

By Richard Marshall

Earlier this year, the US Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) adopted rules imposing anti-money...

12/17/2025 6:07:20 PM

New SEC Cybersecurity Rules Begin to Take Effect

By Richard Marshall

On May 16, 2024, the Securities and Exchange Commission (SEC) unanimously approved amendments to Regulation S-P, which imposes new rules...

12/2/2025 11:26:44 PM

All’s Well That Ends Well: The CFTC Amends Its Wells Notice Process and Other Rules of Practice for the Better

By Carl Kennedy Matt Kluchenek Zachary Schmitz

For years, the Commodity Futures Trading Commission (CFTC or Commission) has exercised broad discretion in investigating and prosecuting...

11/19/2025 5:42:54 PM

FINRA Case Involving Gifts and Entertainment

By Richard Marshall

On October 21, the Financial Industry Regulatory Authority (FINRA) filed a settled enforcement action involving allegedly improper gifts...

11/17/2025 10:06:01 PM

SEC Chairman Calls for a Fairer Wells Process: Reinforcing Due Process and Transparency in Enforcement

By Susan Light

Securities and Exchange Commission (SEC) Chairman Atkins recently spoke at Fordham Law School for the “25th Annual A.A. Sommer, Jr....

List Professionals Alphabetically

Search Professionals

FINRA President and CEO Robert Cook Provides Update on ‘FINRA Forward’ at the SIFMA Compliance & Legal 2026 Annual Conference

SEC Chairman Atkins Outlines Vision and Priorities at SIFMA Compliance and Legal 2026 Annual Conference

Tilting At Windmills: Defending Overconcentration Claims In Today’s Index-Driven Equity Markets

Private Markets Go Public: Inside the SEC’s Push for Retail Participation

Common Ground: The SEC and CFTC Enter Historic Memorandum of Understanding Aimed at Harmonizing Regulatory Interests

Reimagining Securities Arbitration: FINRA Launches Broad Review of Arbitration Rules and Requests Comment on Modernization Initiative

FINRA Unveils Changes to Enforcement Program to Increase Transparency and Efficiency

SEC Enforcement Gets a Refresh: Updates to Enforcement Manual Focus on Transparency and Fairness

Know the Outcome? Don't Trade: CFTC Puts Prediction Markets on Notice

SEC Staff Issues Helpful Guidance on Custodying Digital Asset Securities and Complying with the Customer Protection Rule

SEC Risk Alert on the Advisers Act Marketing Rule

SEC Extends Relief Allowing Brokers to Rely on Advisers for AML Compliance

New SEC Cybersecurity Rules Begin to Take Effect

All’s Well That Ends Well: The CFTC Amends Its Wells Notice Process and Other Rules of Practice for the Better

FINRA Case Involving Gifts and Entertainment

SEC Chairman Calls for a Fairer Wells Process: Reinforcing Due Process and Transparency in Enforcement

Contact Us

Legal Notices