Katten - Your business drives us. Results define us.

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....

9/10/2025 4:29:40 PM

SEC Releases Spring 2025 Regulatory Agenda: A Re-Set for Investment Management and Heavy Emphasis on Crypto Assets

By Adam Bolter Dan Davis Carl Kennedy +6 more...

The Securities and Exchange Commission (the SEC or the Commission) recently released its Spring 2025 Unified Agenda of Regulatory and...

9/8/2025 4:18:13 PM

State Attorney General Renews Focus on Cryptocurrency and the Financial Industry

By Michael Diver Lindsey Smith Mitchell Caminer

State attorneys general are increasingly active in regulating the cryptocurrency industry, stepping in with enforcement actions that...

8/27/2025 4:46:33 PM

Just Over Two Weeks to Complete EDGAR Next Enrollment

By Christian Hennion David Dickstein Adam Bolter +3 more...

In 2024, the United States Securities and Exchange Commission (SEC) adopted “EDGAR Next,” which involved amendments intended to provide...

8/7/2025 4:02:37 PM

Hitting the Snooze Button: CFTC Staff Issues Relief Intended to Reduce Burdens of Swap Data Notification Requirements

By Carl Kennedy

Staff from the Commodity Futures Trading Commission’s (CFTC) Division of Market Oversight issued No-Action Relief Letter 25-25 on July...

7/23/2025 9:54:26 PM

Broker-Dealer Liability Risks in Elder Financial Exploitation Cases

By David Goldberg Susan Light Patrick Smith +1 more...

Despite limited regulatory requirements to intervene, broker-dealers face exposure to discipline and liability claims when elderly...

List Professionals Alphabetically

Search Professionals

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

SEC Releases Spring 2025 Regulatory Agenda: A Re-Set for Investment Management and Heavy Emphasis on Crypto Assets

State Attorney General Renews Focus on Cryptocurrency and the Financial Industry

Just Over Two Weeks to Complete EDGAR Next Enrollment

Hitting the Snooze Button: CFTC Staff Issues Relief Intended to Reduce Burdens of Swap Data Notification Requirements

Broker-Dealer Liability Risks in Elder Financial Exploitation Cases

Contact Us

Legal Notices