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1 month ago | 
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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1 month ago | 
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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2 months ago | 
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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2 months ago | 
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.
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Nov 26, 2024 | 
mondaq.com | Susan Light |Wayne Aaron
On November 22, the US Court of Appeals for the District of
Columbia Circuit granted Alpine a preliminary injunction, ruling
that the Financial Industry Regulatory Authority (FINRA) cannot
expel Alpine without the Securities and Exchange Commission's
(SEC) review.
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Nov 25, 2024 | 
mondaq.com | Wayne Aaron |James Brady |Susan Light
Post-election, securities industry professionals are pondering
the new administration's impact on the regulatory environment
and their businesses. While there is no sure outcome, many
comfortably predict that under the Trump administration, the
Securities and Exchange Commission (SEC or Commission) will be a
more business-friendly environment, particularly with respect to
digital assets.
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Nov 25, 2024 | 
natlawreview.com | Catherine O'Brien |Catherine O'brien |Trisha Sircar |Pamela Rothenberg |Wayne Aaron
In a notable ESG ruling, U.S. District Judge Nelson Roman dismissed a class action lawsuit against Danone Waters of America that had alleged the company deceptively labeled its Evian bottled water as "carbon-neutral." This dismissal is the result of the court’s reconsideration of its partial denial of Defendant Danone Waters of America’s motion to dismiss.
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Nov 25, 2024 | 
jdsupra.com | Wayne Aaron |Susan Light
On November 22, the US Court of Appeals for the District of Columbia Circuit granted Alpine a preliminary injunction, ruling that the Financial Industry Regulatory Authority (FINRA) cannot expel Alpine without the Securities and Exchange Commission’s (SEC) review.
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Nov 25, 2024 | 
mondaq.com | James Brady |Wayne Aaron |Susan Light
Earlier today, the US District Judge Reed O'Connor in Fort
Worth, Texas vacated the rule recently adopted by the Securities
and Exchange Commission (SEC) that sought to significantly expand
entities that may be required to register as a "dealer"
or a "government securities dealer" (Dealer Rule). The
decision to vacate the rule is noteworthy, as the Court did not
remand the case to the SEC, which would have left the future status
of "dealer" regulation unclear.
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Nov 22, 2024 | 
jdsupra.com | Wayne Aaron |James Brady |Susan Light
Post-election, securities industry professionals are pondering the new administration's impact on the regulatory environment and their businesses. While there is no sure outcome, many comfortably predict that under the Trump administration, the Securities and Exchange Commission (SEC or Commission) will be a more business-friendly environment, particularly with respect to digital assets.
