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4 days 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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1 week 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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Jan 27, 2025 | 
jdsupra.com | James Brady |Daniel Davis |Nicholas Gervasi
Attached please find the updated Foreign Listed Stock Index Futures and Options Approvals Chart, current as of January 21, 2025. All prior versions are superseded and should be discarded.
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Jan 26, 2025 | 
jdsupra.com | James Brady |Daniel Davis |Nicholas Gervasi
November 8, 2024
James Brady, Daniel Davis, Nicholas Gervasi, Christian Hennion, Carl Kennedy, Eli Krasnow, Stephen Morris
Katten Muchin Rosenman LLP
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Attached please find the updated Foreign Listed Stock Index Futures and Options Approvals Chart, current as of November 8, 2024.
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Nov 8, 2024 | 
jdsupra.com | James Brady |Daniel Davis |Nicholas Gervasi
Attached please find the updated Foreign Listed Stock Index Futures and Options Approvals Chart, current as of November 8, 2024. All prior versions are superseded and should be discarded.
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Oct 29, 2024 | 
mondaq.com | Carl Kennedy |Nicholas Gervasi
KM
Katten Muchin Rosenman LLP
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Katten is a firm of first choice for clients seeking sophisticated, high-value legal services globally. Our nationally and internationally recognized practices include corporate, financial markets and funds, insolvency and restructuring, intellectual property, litigation, real estate, structured finance and securitization, transactional tax planning, private credit and private wealth.
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Oct 28, 2024 | 
jdsupra.com | Nicholas Gervasi |Carl Kennedy
The Commodity Futures Trading Commission (CFTC) finalized amendments to its regulations governing how CFTC-registered exchanges, clearinghouses and other registered entities submit self-certifications for rule approvals, new product approvals, as well as the CFTC’s formal review process for such submissions. The agency's goal in amending Part 40 of its regulations is to simplify and enhance the utility of these regulations and to better facilitate the self-certification of products.
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Aug 27, 2024 | 
mondaq.com | Nicholas Gervasi |Christian B. Hennion |Richard Marshall
Vice President Kamala Harris's selection of Minnesota Gov. Tim Walz as her running mate imposes restrictions on campaign
contributions to the Harris-Walz campaign by federally registered
investment advisers (RIAs), exempt reporting advisers (ERAs) and
their Covered Associates (as defined below) and other financial
industry professionals under various federal pay-to-play laws. As
Gov.
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Jul 1, 2024 | 
mondaq.com | Susan Light |Christopher Cole |Michael Justus |Nicholas Gervasi
In the all-encompassing age of social media, a new breed of
influencers has emerged — FINfluencers (financial
influencers). These individuals leverage their significant number
of followers on social mediaon platforms such as Instagram, TikTok,
YouTube, and X (formerly Twitter) to make those followers
aware of a broker-dealer and its services.
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Jun 28, 2024 | 
jdsupra.com | Susan Light |Christopher Cole |Nicholas Gervasi |Michael Justus
In the all-encompassing age of social media, a new breed of influencers has emerged — FINfluencers (financial influencers). These individuals leverage their significant number of followers on social mediaon platforms such as Instagram, TikTok, YouTube, and X (formerly Twitter) to make those followers aware of a broker-dealer and its services.
