Law360 recently spoke with Financial Markets and Funds Partner Neil Robson regarding the Financial Conduct Authority’s (FCA) extension of non-financial misconduct rules to 37,000 non-bank firms, which, since September 1, have been required to provide more detail about non-financial misconduct
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Susan Light on FINRA's Push for Stronger Due Process and Transparency
The Hedge Fund Law Report spoke with Partner and Broker-Dealer Regulation Co-Chair Susan Light about a new Financial Industry Regulatory Authority (FINRA) report, released on June 30, 2026, as part of the agency’s ongoing FINRA Forward project. Prepared by two…
Neil Robson Discusses FCA Non-Financial Misconduct Regime With Law360
Law360 recently spoke with Financial Markets and Funds Partner Neil Robson regarding the Financial Conduct Authority’s (FCA) new rules on non-financial misconduct, which take effect this week and will hold some 37,000 non-banking finance businesses, including asset managers and insurers,…
A Message From Katten
After approximately 16 years of publication, today is our final official edition of Corporate & Financial Weekly Digest. On behalf of our attorneys, editors and all of our authors, we are proud to have been a reliable source on trending…
FINRA Publishes 2021 Industry Spotlight
On May 25, the Financial Industry Regulatory Authority (FINRA) published the 2021 FINRA Industry Spotlight (Industry Spotlight), which is FINRA’s annual statistical report covering the brokerage firms, registered representatives and market activity that FINRA regulates. The 2021 edition includes new…
FINRA Publishes 2021 Budget
The Financial Industry Regulatory Authority (FINRA) has published its 2021 Annual Budget Summary (Budget Summary), which outlines how FINRA plans to deploy resources in 2021 to meet its various regulatory responsibilities.…
CFTC Announces Agricultural Advisory Committee Meeting
On May 25, the Commodity Futures Trading Commission announced that on June 9, from 10:00 a.m. to 12:00 p.m., the Agricultural Advisory Committee (AAC) would hold a public meeting via teleconference. At this meeting, the AAC will receive a report…
CFTC Staff Publishes Updated Responses to FAQs Regarding Commission Regulation 4.27 and Form CPO-PQR
On May 26, Commodity Futures Trading Commission’s Market Participants Division (MPD) published updated responses to frequently asked questions regarding CFTC Regulation 4.27 and Form CPO-PQR (FAQs). These FAQs update the 2015 FAQs that addressed issues on Form CPO-PQR from filing…
Effective Date for NFA Member Swap Dealer and Major Swap Participant Dues Increases
On May 24, the National Futures Association (NFA) issued Notice to Members 1-21-16, announcing the effective date for NFA Member swap dealer and major swap participant dues increases.
NFA Bylaw 1301 imposes annual dues on NFA Member swap dealers (SD)…
Notice of Filing of a Proposed Rule Change to Adopt a Supplemental Liquidity Schedule
The Securities and Exchange Commission is seeking comments on a Financial Industry Regulatory Authority (FINRA) proposal to adopt a Supplemental Liquidity Schedule (SLS), and instructions thereto, pursuant to FINRA Rule 4524. FINRA Rule 4524 provides in part that each member,…