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FINRA Sanctions Broker-Dealer for Requiring Newly Hired Salespersons to Disclose Their Prior Firm’s Private Customer Information
  • Katten Muchin Rosenman LLP
  • USA
  • March 13 2016

Raymond James & Associates, Inc. agreed to pay a fine of US $500,000 to settle charges by the Financial Industry Regulatory Authority that, from


NYSDFS previews likely new cybersecurity regulations for financial institutions while urging coordination by other regulators
  • Katten Muchin Rosenman LLP
  • USA
  • November 15 2015

The New York State Department of Financial Services issued a memorandum addressed to 18 federal and state regulatory organizations previewing new


FFIEC implements new infobase technology for the information technology examination handbook
  • Katten Muchin Rosenman LLP
  • USA
  • May 25 2012

The Federal Financial Institutions Examination Council (FFIEC) recently upgraded the functions and features of the InfoBase for the FFIEC Information Technology Examination Handbook (IT Handbook


Federal regulators release model consumer privacy notice Online Form Builder
  • Katten Muchin Rosenman LLP
  • USA
  • April 16 2010

Eight federal regulators have released an Online Form Builder that financial institutions can download and use to develop and print customized versions of a model consumer privacy notice under the Gramm-Leach-Bliley Act (GLBA


Federal regulators issue final model privacy notice form
  • Katten Muchin Rosenman LLP
  • USA
  • November 20 2009

Eight federal regulatory agencies on November 17 released a final model privacy notice form that will make it easier for consumers to understand how financial institutions collect and share information about consumers


Richard D. Marshall
  • Katten Muchin Rosenman LLP

Ross Pazzol
  • Katten Muchin Rosenman LLP

Gary W. Howell
  • Katten Muchin Rosenman LLP

Joshua G. Berman
  • Katten Muchin Rosenman LLP

Jill E. Darrow
  • Katten Muchin Rosenman LLP