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ARTICLE · 26 OCTOBER 2026

Financial Markets And Funds Quick Take | Issue 54

Katten
Katten
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Katten

Katten

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Katten's Financial Markets and Funds Quick Take delivers monthly insights on regulatory developments reshaping broker-dealer enforcement, prediction markets, derivatives frameworks, tax-efficient investing structures, and AI's expanding role in financial services. This edition examines FINRA's transparency reforms, the CFTC's new guardrails on mention markets, the maturation of insurance-dedicated separately managed accounts, and the FCA's evolving cryptoasset and non-financial misconduct regimes.

United StatesFinance and Banking
Katten Muchin Rosenman LLP
Katten Muchin Rosenman LLP
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Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds.

To read more issues of Katten's Financial Markets and Funds Quick Take, please click here.

Broker-Dealer

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 unaffiliated enforcement experts, the report offers 24 recommendations to make FINRA’s enforcement function more effective, transparent, and fair to respondent firms, including proposals to create a forum to challenge Rule 8210 information requests, expand the Wells process, and adopt a statute of limitations for enforcement actions. Read about Sue’s comments.

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