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 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) Securities Regulatory and Enforcement: Four Asset Management Trends - (Posted On Sunday, December 26, 2021) Notice of Filing of a Proposed Rule Change to Adopt a Supplemental Liquidity Schedule - (Posted On Friday, May 21, 2021) CFTC Staff Issues Continuation of Certain No-Action Relief to Market Participants in Response to COVID-19 - (Posted On Friday, April 16, 2021) CFTC Staff Provides Further Brexit-Related Relief - (Posted On Friday, April 16, 2021) Pagination Previous page ‹ Previous Page 3 Current Legal Analysis China’s National Intellectual Property Administration Releases 2025 Budget and Targets – Expecting Over 5 Million Patent Applications in 2025 by: Aaron Wininger WHEN GOOGLE FOLLOWS YOU TO THE DMV: Where Consent Gets Lost in the Traffic by: Blake Landis China’s National Intellectual Property Administration: Accelerate the Use of AI in Examination by: Aaron Wininger NLRB Firing Decision Stayed; Board to Stay Without a Quorum by: Michael J. Lebowich , Joshua S. Fox What are the Odds that FanDuelDraftKingsBet365 Can Save Tax-Exempt Bonds? by: Michael A. Cullers D.C. Circuit Rules Trump Can Remove Independent Agency Members Without Cause by: C. Thomas Davis , Zachary V. Zagger Beltway Buzz, March 28, 2025 by: James J. Plunkett Privacy and Data Security in Community Associations: Navigating Risks and Compliance by: Hannah M. Daigle , Mayukh Sircar Upcoming Events Apr 30 2025 Workplace Horizons 2025 Apr 2 2025 How Employers Can Prepare for Immigration Audits and Visits Apr 3 2025 Defense Counsel: Obligations to Insured Clients and Insurers Apr 3 2025 Defense Counsel: Obligations to Insured Clients and Insurers Print
