Alexander C. KimAssociate Katten Websitekatten.com/Organization ProfileFull ProfileConnectEmail212-940-6535 Professional Biography Alexander Kim is an associate in the Financial Markets and Funds practice. More Legal and Business Bylines From Alexander C. Kim A Brave New World: The Supreme Court Torpedoes the 'Administrative State' - (Posted On Friday, July 12, 2024) The Lesson of Prometheus – A Special Purpose Broker Dealer May Cause Havoc in TradFi by Unilaterally Declaring ETH To Be A Security - (Posted On Monday, March 11, 2024) Copy and Paste: The SEC Adopts Security-Based Swap Execution Facility Rules that Closely Resemble Existing CFTC Swap Execution Facility Rules - (Posted On Tuesday, November 14, 2023) SEC’s Request for Interlocutory Appeal of Favorable Rulings for Ripple Labs’ Defendants Rejected Based on Well-Settled Law - (Posted On Tuesday, October 24, 2023) Tread with Caution: New CFTC Enforcement Advisory on Penalties, Monitors and Admissions Portends Increased Compliance Costs for Industry - (Posted On Tuesday, October 24, 2023) SEC Denial of Grayscale Bitcoin Fund Was Arbitrary and Capricious, Rules DC Circuit Court of Appeals - (Posted On Monday, September 18, 2023) FINRA Gains Greater Jurisdiction and Members: Amendments to SEC Rule 15b9-1 Will Require Most Proprietary Trading Broker-Dealers to Join FINRA - (Posted On Wednesday, September 06, 2023) Broker-Dealer Proprietary Trading Groups: FINRA May Be In Your Future - (Posted On Monday, August 15, 2022) Block Trades, EFRPs and Assorted Other Trade Practice Issues: A Practical Guide of Current Status - (Posted On Wednesday, July 27, 2022) New and Familiar Compliance Challenges for FINRA Members in 2021 and What That Means for 2022 - (Posted On Thursday, March 03, 2022) Pagination Page 1 Next page Next › Current Legal Analysis SEC Whistleblower Awarded $37 Million for Helping Return Tens of Millions of Dollars to Harmed Investors by: Mary Jane Wilmoth New UK Government: Employment Law Reforms – What Employers Need to Know by: Christopher Hitchins , Brigitte Weaver Telephone and Texting Compliance News: Litigation Update — Fourth Circuit Adds to TCPA Case Law at Appellate and District Court Levels by: Joshua Briones , Esteban Morales This Week in 340B: July 9 – 15, 2024 by: Emily J. Cook , Reuben Bank Colorado’s Southern Ute Tribe Sues State over Attempts to Regulate Tribal Sports Betting by: Dan McGinn Evonik Corporation Beats 401(k) Plan Challenge with Evidence of Rigorous Fiduciary Process by: Lindsey H. Chopin , Stacey C.S. Cerrone Upcoming Legal Education Events Oct 9 2024 Government Contracts Annual Update 2024 Sep 6 2024 Public Company Shareholder Engagement Summit Sep 6 2024 2024 Employment Law Symposium Aug 28 2024 REACH 30/30 - 28 August 2024 Print