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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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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.
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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.
