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 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) Securities Regulatory and Enforcement: Four Asset Management Trends - (Posted On Sunday, December 26, 2021) Pagination Page 1 Next page Next › Current Legal Analysis 2024 Title IX Regulation Update, Part 2: Section 106.2 Definitions by: Amanda T. Quan , Lisa Karen Atkins EPA Finalizes Major Power Plant Rules by: Paul Libus , Arthur "A.J." Singletary CFPB Announces Update in Continued War on Mortgage Servicing Junk Fees by: A.J. S. Dhaliwal , Mehul N. Madia Complying with Rule 506(c): Investor Verification Methods Explained by: Troy Stevenson Kansas Enacts Earned Wages Access Law by: A.J. S. Dhaliwal , Mehul N. Madia Upcoming Legal Education Events Jun 4 2024 FinTech and Securities Trading Platforms May 22 2024 California Labor and Employment Laws: Essential Insights | Union Rules For Non-Union Workforces May 17 2024 Upon Further Review: A Look Back at the Last Year in the Third, Fourth, and D.C. Circuits May 15 2024 Capital Connect: Finance & Funding in Life Sciences Print