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Statement on Status of the Consolidated Audit Trail
  • Katten Muchin Rosenman LLP
  • USA
  • August 31 2018

On August 27, the Securities and Exchange Commission’s Division of Trading and Markets issued a public statement on the status of the consolidated


FINRA Publishes Regulatory Notice Regarding ATS Supervision Obligations
  • Katten Muchin Rosenman LLP
  • USA
  • August 17 2018

On August 13, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 18-25 to remind Alternative Trading Systems (ATS) to


FINRA Encourages Firms To Disclose Activities Related to Digital Assets
  • Katten Muchin Rosenman LLP
  • USA
  • July 13 2018

On July 6, the Financial Industry Regulatory Authority published Regulatory Notice 18-20, which encourages member firms to promptly notify FINRA if


FINRA Launches Enhanced Public Records Review
  • Katten Muchin Rosenman LLP
  • USA
  • July 13 2018

On July 5, the Financial Industry Regulatory Authority announced an enhanced disclosure review process of individuals seeking registration with a


FINRA Amends Rule 3310 to Reflect FinCEN’s Customer Due Diligence Requirements
  • Katten Muchin Rosenman LLP
  • USA
  • May 11 2018

The Financial Industry Regulatory Authority (FINRA) filed amendments to Rule 3310 to conform to the Financial Crimes Enforcement Network’s (FinCEN’s)


FINRA Seeks Comment on Rule Proposal Regarding High-Risk Brokers
  • Katten Muchin Rosenman LLP
  • USA
  • May 4 2018

On May 30, the Financial Industry Regulatory Authority published Regulatory Notice 18-16, which seeks comment on proposed rule amendments that impose


FINRA Revises the Sanction Guidelines
  • Katten Muchin Rosenman LLP
  • USA
  • May 4 2018

On May 2, the Financial Industry Regulatory Authority announced revisions to its Sanction Guidelines that will instruct Disciplinary adjudicators to


FINRA Extends Effective Date of Margin Requirements for Covered Agency Transactions
  • Katten Muchin Rosenman LLP
  • USA
  • May 4 2018

In 2016, the Financial Industry Regulatory Authority announced the Securities and Exchange Commission’s approval of a rule change to establish margin


FINRA Publishes Regulatory Notice Regarding 2018 GASB Accounting Support Fee
  • Katten Muchin Rosenman LLP
  • USA
  • April 20 2018

On April 17, the Financial Industry Regulatory Authority issued Regulatory Notice 18-12, which announces that FINRA will collect a total of $8,346


SEC Confirms Record Retention Requirements With Third-Party Recordkeeping Services
  • Katten Muchin Rosenman LLP
  • USA
  • April 13 2018

On April 12, the staff of the Securities and Exchange Commission issued a letter in response to an inquiry from staff of the Financial Industry