Carolyn H. Jackson

Carolyn H. Jackson

Katten Muchin Rosenman LLP

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Corporate and Financial Weekly Digest - Volume XI, Issue 48

SEC/CORPORATE - SEC Division of Corporation Finance Issues 35 New C&DIs Regarding Foreign Private Issuers, QIBs and Offshore Offerings - On December 8, the staff (Staff) of the Securities and Exchange Commission’s...more

12/19/2016 - Australia Banking Examinations C&DIs Central Counterparties Counterparties EU FDIC Foreign Private Issuers Mexico No-Action Relief Regulation S Transitional Arrangements UK Brexit

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

12/12/2016 - Aggregation Rules Capital Requirements FINRA Insider Trading MiFID II Position Limits Reporting Requirements UK Brexit US v Salman

Corporate and Financial Weekly Digest - Volume XI, Issue 46

ISS Releases 2017 Proxy Voting Guideline Updates - On November 21, ISS published its 2017 Proxy Voting Guideline Updates, which will be in effect for meetings held on or after February 1, 2017. The US 2017 updates cover...more

12/5/2016 - C&DIs CFTC EU European Commission Financial Conduct Authority (FCA) Forex Glass Lewis ISS NFA Proxy Season UK UK Brexit

Corporate and Financial Weekly Digest - Volume XI, Issue 45

SEC/CORPORATE - SEC Division of Corporation Finance Issues Revised and Additional C&DIs Relating to Form S-8 - On November 9, the Division of Corporation Finance of the Securities and Exchange Commission issued two...more

11/21/2016 - Banking Sector Broker-Dealer C&DIs CCPs CFTC Derivatives Clearing Organizations EMIR EU European Securities and Markets Authority (ESMA) FDIC Proxy Season Recordkeeping Requirements SEC SRO Stress Tests

Corporate and Financial Weekly Digest - Volume XI, Issue 43

SEC/CORPORATE - SEC Proposes Amendments To Require Universal Proxy Cards in Contested Elections - On October 26, the Securities and Exchange Commission voted to propose amendments to the proxy rules that would...more

11/7/2016 - Canada ISS Memorandum of Understanding No-Action Relief Proxy Access Rule 147 Rule 504 SEFs UK Brexit Universal Proxy Cards

Corporate and Financial Weekly Digest - Volume XI, Issue 41

SEC/CORPORATE – SEC Division of Corporation Finance Issues Five Additional C&DIs Relating to Pay Ratio Disclosure Rule – On October 18, the Securities and Exchange Commission’s Division of Corporation Finance...more

10/24/2016 - C&DIs Capital Acquisition Broker (CAB) EU Money Market Funds Pay Ratio Regulation S-K Remuneration RTO TRACE UCITS UK

Corporate and Financial Weekly Digest - Volume XI, Issue 39

SEC/CORPORATE SEC - Staff No Longer Requires “Tandy” Representations in Filing Reviews - On October 5, the staff (Staff) of the Securities and Exchange Commission announced that, effective immediately, a company...more

10/10/2016 - Alternative Trading Systems CRD IV Directive EU Market Abuse Regulation (EU MAR) Memorandum of Understanding No-Action Letters Proxy Access Remuneration Tandy Letter

Corporate and Financial Weekly Digest - Volume XI, Issue 35

BROKER-DEALER FINRA – Proposes Changes to Its Inter-Dealer Quotation System for OTC Equity Securities – The Financial Industry Regulatory Authority has proposed changes to its inter-dealer quotation system referred...more

9/13/2016 - Cybersecurity Financial Conduct Authority (FCA) FINRA Japan MiFID II UK Uncleared Swaps

Corporate and Financial Weekly Digest - Volume XI, Issue 33

SEC/CORPORATE - SEC Seeks Public Comment on Disclosure Requirements of Subpart 400 of Regulation S-K - On August 25, the Securities and Exchange Commission announced that it is seeking public comment on the issues...more

8/29/2016 - Comment Period Committee on Payments and Market Infrastructure (CPMI) International Harmonization IOSCO MiFID II MiFIR Regulation S-K Security-Based Swaps SEFs

Corporate and Financial Weekly Digest - Volume XI, Issue 31

BROKER-DEALER - FINRA Issues Notice Regarding SEC’s Approval of New NMS Stock Recording and Reporting Requirements Rule - On August 8, the Financial Industry Regulatory Authority issued Regulatory Notice 16-28,...more

8/15/2016 - Alternative Trading Systems Chief Compliance Officers EU FCMs Interpretive Letters Margin Requirements Meals-Gifts-and Entertainment Rules No-Action Relief Regulation NMS Regulation Technical Standards (RTS) Swap Dealers TRACE

Corporate and Financial Weekly Digest - Volume XI, Issue 29

BROKER-DEALER - Proposed FINRA Rule Change To Clarify the Operation of the Regulation NMS Plan To Address Extraordinary Market Volatility - The Financial Industry Regulatory Authority is filing a proposed rule...more

8/1/2016 - Canada Comment Period EU EU Cybersecurity Directives Insolvency Registration Requirement Regulation NMS UK

Corporate and Financial Weekly Digest - Volume XI, Issue 27

BREXIT UPDATE - Nathaniel Lalone, a Financial Services partner at Katten Muchin Rosenman UK LLP, will continue to share his insight into the evolution of the relationship between the United Kingdom and European Union in...more

7/18/2016 - Block Trades C&DIs Comment Period EU-US Privacy Shield GAAP IFRS Proposed Regulation Qualified Client SEC Security-Based Swaps UK Brexit

Corporate and Financial Weekly Digest - Volume XI, Issue 26

SEC/CORPORATE – SEC Division of Corporation Finance Issues C&DIs on Application of Rule 701 – On June 23, the Staff of the Division of Corporation Finance (Staff) of the Securities and Exchange Commission...more

7/11/2016 - Associated Persons C&DIs Chapter 11 Credit Default Swaps Economic Sanctions EU FINRA Golden Leash Arrangements Lehman Brothers Mergers MiFIR Popular SEFs Smaller Reporting Companies Stock Float Suspicious Activity Reports (SARs) UK UK Brexit

Corporate and Financial Weekly Digest - Volume XI, Issue 25

SEC/CORPORATE - SEC Proposes Rules Updating Mining Registrant Disclosure Requirements - On June 16, 2016, the Securities and Exchange Commission proposed rules (Proposed Rules) to modernize the property disclosure...more

6/27/2016 - CME Customer Protection Rule EU EU Market Abuse Regulation (EU MAR) Form PQR No-Action Relief Regulation S-K UK UK Brexit

Brexit: Implications for the Financial Services Industry

The UK has voted to cease being an EU member state. Yesterday, June 23, 2016, the UK held a referendum on its future in the European Union (EU)—the "Brexit". The result this morning shows that 51.9% of voters in the UK...more

6/24/2016 - Bilateral Agreements Cross-Border Transactions EEA EU Financial Institutions Member State Referendums Trade Agreements UK Brexit WTO

Corporate and Financial Weekly Digest - Volume XI, Issue 24

SEC/CORPORATE - DC Circuit Court Rejects States’ Challenge of Blue Sky Preemption Under Regulation A+ - On June 14, the Federal Court of Appeals for the District of Columbia (the DC Circuit) rejected challenges...more

6/20/2016 - Blue Sky Laws Central Counterparties Credit Default Swaps Derivatives Clearing Organizations Futures Margin Requirements No-Action Relief Preemption Regulation A Reporting Requirements Third Country Entities

Corporate and Financial Weekly Digest - Volume XI, Issue 21

SEC/CORPORATE - SEC Releases Target Dates for Proposed and Final Rulemaking - The Securities and Exchange Commission recently published its agenda with respect to upcoming rulemaking, including rulemaking...more

5/31/2016 - Cross-Border Transactions Deposit Accounts EU European Union Delegated Act (EUDA) FDIC Margin Requirements MiFID II Recordkeeping Requirements Rulemaking Process SEC UK

Corporate and Financial Weekly Digest - Volume XI, Issue 20

SEC/CORPORATE - SEC Division of Corporation Finance Issues 12 New and Revised C&DIs Regarding Non-GAAP Measures - As noted in the May 13 edition of Corporate and Financial Weekly Digest, SEC Chair Mary Joe White,...more

5/23/2016 - Auditors C&DIs Cybersecurity EU Financial Conduct Authority (FCA) Mary Jo White MiFID MiFIR Non-GAAP Financial Measures PCAOB Residual Interest SEC UK

Corporate and Financial Weekly Digest - Volume XI, Issue 19

SEC/CORPORATE - SEC Approves PCAOB Rules Requiring Disclosure of Audit Participants - On May 9, the Securities and Exchange Commission adopted the proposed new rules and related amendments to auditing standards...more

5/16/2016 - Audits Commodities Exchange Act EU MiFID II MiFIR Non-GAAP Financial Measures PCAOB Regulation Technical Standards (RTS) Stock Options UCITS

Corporate and Financial Weekly Digest - Volume XI, Issue 18

SEC/CORPORATE - SEC Approves Amendments to Implement Provisions of the JOBS Act and FAST Act - On May 3, the Securities and Exchange Commission approved amendments to revise certain rules under the Securities...more

5/9/2016 - CFPB Crowdfunding EU Fixing America’s Surface Transportation Act (FAST Act) G-SIB ISDA JOBS Act Mandatory Arbitration Clauses MiFID II Regulation Technical Standards (RTS)

Corporate and Financial Weekly Digest - Volume XI, Issue 17

BROKER-DEALER - SEC Modifies and Extends Pilot Program for NMS Plan to Address Extraordinary Market Volatility - The Securities and Exchange Commission has issued an order that modifies and extends the National...more

5/2/2016 - Alternative Trading Systems Capital Markets Union ECON EU Financial Conduct Authority (FCA) MiFID II Regulation NMS Virtual Currency

Corporate and Financial Weekly Digest - Volume XI, Issue 15

SEC/CORPORATE - SEC Publishes Concept Release Regarding Business and Financial Disclosure - On April 13, the Securities and Exchange Commission published a concept release, recommended by the SEC’s Division of...more

4/18/2016 - Covered Swap Entities (CSE) EU JOBS Act Loan Origination Funds MiFID II No-Action Letters Pension Schemes Regulation S-K UK

Corporate and Financial Weekly Digest - Volume XI, Issue 13

BROKER-DEALER - FINRA Proposes Amendment to Transactions in Exchange-Traded Managed Fund Shares Rule - On March 29, the Financial Industry Regulatory Authority filed with the Securities and Exchange Commission a...more

4/4/2016 - Derivatives EU EU Market Abuse Regulation (EU MAR) European Securities and Markets Authority (ESMA) Exchange-Traded Products FINRA

Draft RTS on Risk-Mitigation Procedures for OTC Derivatives Not Cleared by CCPs Published by EU Supervisory Authorities

On March 8, the European Supervisory Authorities (which includes the European Banking Authority (EBA), the European Insurance and Occupational Pensions Authority and the European Securities and Markets Authority) published...more

3/23/2016 - Derivatives EIOPA EMIR EU European Banking Authority European Securities and Markets Authority (ESMA) Margin Requirements Risk Mitigation RTS

European Commission Adopts Equivalence Decision in Regards to US CFTC-Registered CCPs

On March 15, the European Commission (the Commission) adopted an equivalence decision in regards to US central counterparties (CCPs). The equivalence decision will allow CCPs authorized and registered with the Commodity...more

3/23/2016 - Central Counterparties CFTC EMIR Equivalency Determinations EU European Commission No-Action Relief

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