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Financial Markets and Funds Quick Take | Issue 33

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more

Not-So-New News Flash? Change in Administration Ushers Back a Deregulatory Agenda – Implications for Investment Advisers

While most industry observers agree that the transition to the new presidential administration will bring with it a deregulatory agenda, members of Katten’s asset management regulatory team compiled their Top-5 Holiday Wish...more

Privacy, Data and Cybersecurity Quick Clicks | Issue 3

Ever-Expanding BIPA Damages: Illinois Supreme Court Holds Each Collection or Dissemination of Biometric Data Constitutes a Separate Violation of BIPA - In an eagerly-awaited decision in Cothron v. White Castle System,...more

Financial Markets and Funds Quick Take | Issue 12

FINRA Updates its Sweep on Social Media Influencers, Customer Acquisition and Related Information Protection - On February 28, the Financial Industry Regulatory Authority (FINRA) provided an update for its sweep on Social...more

Corporate & Financial Weekly Digest, Featuring Articles on SEC launches new website page on ESG investing and UK FCA launches new...

BROKER-DEALER - SEC Issues Amendments, Seeks Public Comment on Holding Foreign Companies Accountable Act - On March 24, the Securities and Exchange Commission adopted interim final amendments to implement...more

Corporate & Financial Weekly Digest, Featuring Articles on FINRA's new rules to address brokers with significant history of...

BROKER-DEALER - SEC Issues No Action Letter on Treatment of Reserved Powers Trust as Non-US Person by Non-US Investment Adviser for Registration Exemption - On March 5, the Securities Exchange Commission’s Division of...more

Corporate & Financial Weekly Digest, Featuring Articles on Electronic Signatures, the Latest ISS Proxy Season Information and...

SEC/CORPORATE - SEC Adopts Amendments Permitting Use of Electronic Signatures for EDGAR Filings - On November 17, the Securities and Exchange Commission adopted amendments to Regulation S-T to permit the use of...more

SEC Proposal to Exempt Certain "Finders" from Broker-Dealer Registration May Allow Significant Capital Raising Activities by...

The Securities and Exchange Commission issued a proposed order that, if adopted, would provide an exemption to certain "finders," persons who connect potential buyers and sellers of securities for a fee, from broker-dealer...more

Corporate & Financial Weekly Digest, Featuring Articles on CFTC approves amendments to Form CPO-PQR, ISDA helps markets deal with...

BROKER-DEALER - FINRA Requests Comments for Proposed Amendments to FINRA Rule 2165 - On October 5, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 20-34, which requests comment on proposed...more

Corporate & Financial Weekly Digest, Featuring Articles on Additional LIBOR Replacement Materials from the ARRC, Amendments to...

BROKER-DEALER - FINRA Announces Updates to Interpretations of Margin Rule Regarding Control and Restricted Securities and Consolidation of Accounts - On July 2, the Financial Industry Regulatory Authority (FINRA) issued...more

Corporate & Financial Weekly Digest, Featuring Articles on CBOE Exchange to Temporarily Extend Filing Deadline for Certain...

BROKER-DEALER - CBOE Exchange Proposes to Temporarily Extend the Filing Deadline for Certain Supervision-Related Reports - On June 1, Cboe Exchange, Inc. (Cboe) filed with the Securities and Exchange Commission a...more

Corporate & Financial Weekly Digest, Featuring Articles on the Recordkeeping Requirements and Filing Deadline Changes as a Result...

SEC/CORPORATE - SEC Further Extends Filing Deadlines for Companies Impacted by COVID-19 - On March 25, the Securities and Exchange Commission issued an order extending conditional relief (the Modified Order) for...more

Corporate & Financial Weekly Digest, Featuring Articles on FINRA Issues Investor Alert on Required Minimum Distributions, IOSCO...

BROKER-DEALER - FINRA Issues Investor Alert Regarding Required Minimum Distributions - The Financial Industry Regulatory Authority (FINRA) issued an Investor Alert regarding a new law raising the age for required...more

Corporate & Financial Weekly Digest, Featuring the Lasted Guidance From the CFTC, the NFA and ESMA

BROKER-DEALER - FINRA Expands Transparency Initiative Related to OTC Equity Trading Volume - The Financial Industry Regulatory Authority (FINRA) previously announced an expansion to its ongoing transparency initiative...more

Corporate & Financial Weekly Digest, Featuring Articles on SEC Enforcement Actions, Filing Fees and CFTC Committee Updates

SEC/CORPORATE - Federal Court Rules Investment Fund is 10 Percent Owner in Section 16 Case - On August 20, a federal magistrate judge in the Eastern District of New York granted a motion for summary judgment in a...more

Corporate & Financial Weekly Digest, Featuring Articles Exploring Rule Changes on the Horizon for FINRA, the NFA and CFTC, as well...

BROKER-DEALER - FINRA Files Proposed Rule Change to CAB Rules Governing Qualification, Registration and Continuing Education of Associated Persons of CABs - The Financial Industry Regulatory Authority (FINRA) is filing...more

Corporate & Financial Weekly Digest, Featuring Articles on NFA Compliance Updates for CPOs and Swaps, and Brexit and No-Deal...

BROKER-DEALER - FINRA Issues Report on Examination Findings - This month, the Financial Industry Regulatory Authority (FINRA) issued a report summarizing various findings from recent examinations of its member firms...more

Corporate & Financial Weekly Digest, Featuring Topics on Broker/Dealer, CFTC and EU/Brexit Developments

BROKER-DEALER - FINRA Proposes Rule Change Regarding ATS Reporting of Transactions to TRACE - The Financial Industry Regulatory Authority recently filed a proposed rule change with the Securities and Exchange Commission...more

Corporate & Financial Weekly Digest, Featuring Topics on Broker/Dealer, CFTC and UK/EU Developments

BROKER-DEALER - FINRA Seeks Comment on Rule Proposal Regarding High-Risk Brokers - On May 30, the Financial Industry Regulatory Authority published Regulatory Notice 18-16, which seeks comment on proposed rule...more

Corporate and Financial Weekly Digest - Volume XI, Issue 47

SEC/CORPORATE - Supreme Court Rules on Insider Trading Involving Family and Friends - In its first insider trading decision in nearly two decades, the US Supreme Court ruled unanimously to uphold an insider trading...more

Corporate & Financial Weekly Digest - Volume X, Issue 30

SEC Finalizes Rule on Pay Ratio Disclosure - On August 5, the Securities and Exchange Commission adopted the final rule regarding pay ratio disclosure that amends Item 402 of Regulation S-K to implement Section 953(b)...more

Corporate & Financial Weekly Digest - Volume X, Issue 27

In this issue: - Court of Appeals for Third Circuit Overturns District Court Ruling Regarding Exclusion of Shareholder Proposal From Proxy Statement - FINRA Updates Its Interpretation of the SEC's Financial...more

Corporate and Financial Weekly Digest - Volume IX, Issue 41

In this issue: - ISS Releases 2015 Draft Voting Policy Changes for Comment - SEC Investor Advisory Committee Releases Recommendations on Changes to Accredited Investor Definition - FINRA Proposes to...more

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