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Katten Muchin Rosenman LLP | USA | 11 May 2022

Financial Markets and Funds Quick Take | Issue 2

The Securities and Exchange Commission (SEC) announced it is extending the public comment period on the proposed rulemaking to enhance and standardize…
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Katten Muchin Rosenman LLP | USA | 13 Apr 2022

Katten Financial Markets and Funds Quick Take

The Securities and Exchange Commission (SEC) has been especially busy these last few weeks as evidenced by a series of rule proposals released as…
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Katten Muchin Rosenman LLP | USA | 13 Apr 2022

FDIC Requires Reporting of Crypto-Related Activities

Any Federal Deposit Insurance Corporation (FDIC)-supervised institution that is considering engaging in crypto-related activity must now notify the…
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Katten Muchin Rosenman LLP | USA | 5 Apr 2022

SEC Deals New Proposal to Expand Reach of Dealer Registration Requirements

New proposed SEC rules would expand who may be considered a dealer or a government securities dealer under the Securities Exchange Act of…
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Katten Muchin Rosenman LLP | USA | 10 Mar 2022

Focus and Coordination: Two Principal Themes of White House March 9 Executive Order on Digital Assets

The United States is proactively and positively focusing on digital assets…
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Katten Muchin Rosenman LLP | USA | 5 Jan 2022

Facilitator of Smart Contracts Protocol Fined $1.4 Million by CFTC for Purportedly Enabling Unregistered Events-Based Binary Options Trading Platform

Blockratize, Inc., d/b/a Polymarket, the owner of a website through which customers access smart contracts on the Polygon blockchain to place…
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Katten Muchin Rosenman LLP | USA | 29 Dec 2021

SEC Delivers Coal Under the Christmas Trees of NYSE Arca and Cboe BZX in the Form of Rejections to List Bitcoin ETFs

Two national securities exchanges found coal under their Christmas trees on December 22, 2021, in the form of disapproval orders by the Securities…
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Katten Muchin Rosenman LLP | USA | 28 Dec 2021

Deja Vu Again Justified?: CFTC Fines Respondents for Wash Sales Less Than Two Weeks After COMEX Fines and Suspends Two Principals for Same Offense

A settlement of a potential administrative action against two Dubai residents (Kunal Bansal and Vinit Agarwal) and firms for which they each traded…
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Katten Muchin Rosenman LLP | USA | 25 Nov 2021

What Does the SEC's & CFTC's Handling of Kospi 200 Stock Index Futures and Crypto Have in Common? Nothing Today -- But The Approach Should be Similar!

On November 23, 2021, the Division of Market Oversight of the Commodity Futures Trading Commission granted "no action" relief to the Korea Exchange…
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Katten Muchin Rosenman LLP | USA | 16 Nov 2021

Just Say No: The SEC Again Rejects an Application for the Listing and Trading of Shares of a Bitcoin Exchange-Traded Fund

The Securities and Exchange Commission again rejected an exchange’s application to list and trade shares of a Bitcoin ETF on November 12, 2021…
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