Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more
SEC/CORPORATE SEC Commissioner Piwowar Speaks at Current Financial Reporting Issues Conference -
On November 16, Securities and Exchange Commissioner Michael Piwowar addressed the 34th Annual Current Financial Reporting...more
SEC/CORPORATE -
US District Court Orders SEC To Revise Resource Extraction Issuer Rule -
On September 2, the US District Court for the District of Massachusetts ordered the SEC to file with the District Court in 30...more
9/14/2015
/ Banking Sector ,
Broker-Dealer ,
C-Suite Executives ,
CFTC ,
Commodities ,
Consultation ,
Corporate Executive Boards ,
Failure To Disclose ,
FFIEC ,
Financial Conduct Authority (FCA) ,
Financial Institutions ,
Investment Funds ,
Major Swap Participants ,
NFA ,
NYSE ,
Oxfam America ,
Resource Extraction ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Swaps ,
Trade Market Abuse ,
UCITS ,
UK
In This Issue:
- Meeting of the SEC Advisory Committee on Small and Emerging Companies
- FINRA Requests Comment on a Proposed Rule to Require Delivery of an Educational Communication to Customers of a Transferring...more
6/15/2015
/ Bank Fraud ,
Bank of England ,
British Bankers' Association ,
Business Development ,
Capital Requirements ,
CFTC ,
Commodity Trading Advisors (CTAs) ,
Crowdfunding ,
Derivatives ,
Disclosure Requirements ,
Diversity ,
Dodd-Frank ,
DSIO ,
Employment Policies ,
Equal Employment Opportunity Commission (EEOC) ,
EU ,
European Banking Authority (EBA) ,
Fair and Effective Markets Review (FEMR) ,
FICC ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Financial Markets ,
Finders ,
GameStop ,
IMF ,
JOBS Act ,
LGBTQ ,
OMWI ,
Privacy Policy ,
Regulation S-K ,
Rule 147 ,
Securities and Exchange Commission (SEC) ,
Small Business ,
Swaps ,
UK ,
World Bank
In this issue:
- Delaware Chancery Court Declines to Dismiss Fraud Claims Against Private Equity Fund and Directors
- Agencies Amend Regulatory Capital and Liquidity Coverage Ratio Rules
- FINRA Proposes...more
12/22/2014
/ Affiliates ,
Banking Sector ,
Banks ,
Bitcoin ,
BitLicense ,
Capital Requirements ,
CFTC ,
CPOs ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Financial Markets ,
Fraud ,
Liquidity Coverage Ratio ,
Market Participants ,
NFA ,
Private Equity Funds ,
Push-Out Requirements ,
Recordkeeping Requirements ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Swaps ,
Whistleblower Protection Policies