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3 weeks ago | 
mondaq.com | James Brady |Michael Lohnes |Nicholas Gervasi
Securities and Exchange Commission (SEC) Chairman Paul S. Atkinsrecently directed SEC staff to conduct a review of the ConsolidatedAudit Trail (CAT), focusing on the escalating costs, reportingrequirements, and cybersecurity risks stemming from sensitive datacollection.1 This directive aligns with ChairmanAtkins' expressed priorities to return to principledregulation, support market innovation and evolution, and reduceunnecessary compliance burdens.
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4 weeks ago | 
jdsupra.com | James Brady |Nicholas Gervasi |Michael Lohnes
Securities and Exchange Commission (SEC) Chairman Paul S. Atkins recently directed SEC staff to conduct a review of the Consolidated Audit Trail (CAT), focusing on the escalating costs, reporting requirements, and cybersecurity risks stemming from sensitive data collection.[1] This directive aligns with Chairman Atkins’ expressed priorities to return to principled regulation, support market innovation and evolution, and reduce unnecessary compliance burdens.
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4 weeks ago | 
natlawreview.com | James Brady
Securities and Exchange Commission (SEC) Chairman Paul S. Atkins recently directed SEC staff to conduct a review of the Consolidated Audit Trail (CAT), focusing on the escalating costs, reporting requirements, and cybersecurity risks stemming from sensitive data collection.[1] This directive aligns with Chairman Atkins’ expressed priorities to return to principled regulation, support market innovation and evolution, and reduce unnecessary compliance burdens.
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1 month ago | 
jdsupra.com | Wayne Aaron |James Brady |Daniel Davis
The Securities and Exchange Commission (SEC) has taken a significant step toward permitting broker-dealers to custody digital assets and toward accounting for such proprietary digital assets in a broker-dealer’s net capital computation.
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1 month ago | 
katten.com | Daniel Davis |Susan Light |Wayne Aaron |James Brady
Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds.
To read more issues of Katten's Financial Markets and Funds Quick Take, please click here.
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Feb 27, 2025 | 
jdsupra.com | Wayne Aaron |James Brady |Susan Light
Katten's Privacy, Data and Cybersecurity Quick Clicks is a monthly newsletter highlighting the latest news and legal developments involving privacy, data and cybersecurity issues across the globe. To read more issues of Katten's Privacy, Data and Cybersecurity Quick Clicks, please click here.
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Feb 27, 2025 | 
katten.com | Wayne Aaron |James Brady |Susan Light |Michael Lohnes
Katten's Privacy, Data and Cybersecurity Quick Clicks is a monthly newsletter highlighting the latest news and legal developments involving privacy, data and cybersecurity issues across the globe.
To read more issues of Katten's Privacy, Data and Cybersecurity Quick Clicks, please click here.
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Feb 14, 2025 | 
jdsupra.com | Wayne Aaron |James Brady |Susan Light
On February 10, the Securities and Exchange Commission (SEC) granted relief exempting industry members from reporting a natural person’s name, address, and year of birth to the Consolidated Audit Trail (CAT). Industry members must still report transformed social security numbers (SSNs) or individual taxpayer identification numbers (ITINs) for natural persons and, to the extent applicable, Larger Trader IDs (LTIDs) and Legal Entity Identifiers (LEIs).
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Feb 13, 2025 | 
natlawreview.com | James Brady
On February 10, the Securities and Exchange Commission (SEC) granted relief exempting industry members from reporting a natural person’s name, address, and year of birth to the Consolidated Audit Trail (CAT). Industry members must still report transformed social security numbers (SSNs) or individual taxpayer identification numbers (ITINs) for natural persons and, to the extent applicable, Larger Trader IDs (LTIDs) and Legal Entity Identifiers (LEIs).
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Jan 31, 2025 | 
jdsupra.com | Wayne Aaron |James Brady |Susan Light
On January 28, the Financial Industry Regulatory Authority (FINRA) published the 2025 update to its annual Regulatory Oversight Report.1 The report collects recent observations and findings from FINRA's oversight programs – Member Supervision, Market Regulation and Transparency Services, and Enforcement – and provides FINRA member firms with a helpful resource to evaluate compliance on a number of cutting-edge topics.
