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FINRA Proposed Rule Change to the Consolidated Audit Trail
  • Katten Muchin Rosenman LLP
  • USA
  • May 12 2017

In February, pursuant to Regulation NMS, the various national securities exchanges and the Financial Industry Regulatory Authority (each, a


FINRA Files Proposed Rules With The SEC To Implement Consolidated Audit Trail Plan
  • Katten Muchin Rosenman LLP
  • USA
  • February 17 2017

The Financial Industry Regulatory Authority (FINRA) has filed proposed rules with the Securities and Exchange Commission to adopt FINRA Rule 6800


CFTC Permits Unaudited Financial Statements Upon Liquidation of a Series of a Pool That is Also a Registered Investment Company
  • K&L Gates
  • USA
  • February 6 2017

The Commodity Futures Trading Commission (“CFTC” or “Commission”) has provided general exemptive relief to persons registered as commodity pool


FINRA Issues Notice Regarding SEC’s Approval of New NMS Stock Recording and Reporting Requirements Rule
  • Katten Muchin Rosenman LLP
  • USA
  • August 12 2016

On August 8, the Financial Industry Regulatory Authority issued Regulatory Notice 16-28, which discusses the Securities and Exchange Commission's


Regulatory Bodies with Oversight of an EB-5 Investment
  • Greenberg Traurig LLP
  • USA
  • August 8 2016

Due to the complex intersection of real estate, corporate, securities and immigration law (among others), an investment in a company under the EB-5


SEC Publishes Consolidated Audit Trail Plan
  • Latham & Watkins LLP
  • USA
  • May 10 2016

On April 27, 2016, the Securities and Exchange Commission (SEC) published for public comment a proposed national market system (NMS) plan (the


Securities Exchange Commission Votes to Publish Consolidated Audit Trail Plan for Public Comment
  • Steptoe & Johnson LLP
  • USA
  • April 27 2016

Today, the Securities and Exchange Commission (SEC) unanimously voted in favor of publishing a proposed national market system (NMS) plan to create


SROs publish RFP on consolidated audit trail
  • Winston & Strawn LLP
  • USA
  • December 10 2012

On December 6th, NYSE Euronext advised that the national securities exchanges and the Financial Industry Regulatory Authority published on the dedicated Consolidated Audit Trail NMS website a RFP concept document seeking feedback on the feasibility and costs of implementing the Consolidated Audit Trail reporting requirements being considered by the self-regulatory organizations.


Amendments proposed for OATS
  • Winston & Strawn LLP
  • USA
  • November 14 2011

On November 4th, the SEC provided notice of the FINRA's proposed amendments to: (i) Rules 5320 and 7440 to require that members report to the Order Audit Trail System ("OATS") information barriers put into place by the member in reliance on Supplementary Material .02 to Rule 5320; (ii) Rule 7440 to require that members report customer instructions regarding the display of a customer's limit order in any OATS-eligible security; and (iii) Rule 7450 to codify the specific time OATS reports must be transmitted to FINRA.


SEC Inspector General releases report regarding the Commission's destruction of documents from pre-investigation inquiries
  • Porter Wright Morris & Arthur LLP
  • USA
  • November 2 2011

On Tuesday, November 1, 2011, the SEC's Inspector General ("Inspector General or "OIG") released its report regarding the investigation into the SEC's policy of destroying documents gathered in pre-investigation inquiries known as Matters Under Inquiry ("MUI"), as well as statements made by the Commission to the National Archives and Records Administration ("NARA") regarding that policy.