James M. Brady

James M. Brady

Katten Muchin Rosenman LLP

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Corporate and Financial Weekly Digest - Volume XI, Issue 30

BROKER-DEALER - FINRA Adopts Amendments on Resumption of Trading - The Financial Industry Regulatory Authority has adopted amendments to clarify the operation of the Regulation NMS Plan to Address Extraordinary...more

8/8/2016 - Bail-In Provisions BRRD EU MiFID II Regulation NMS Senior Managers Insurers Regime (SMIR) UK UK Brexit Whistleblowers

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 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

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 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 14

BROKER-DEALER - SEC Approves FINRA’s Proposed Expansion of Supplement Schedule for Derivatives and Off-Balance Sheet Items - On April 5, the Financial Industry Regulatory Authority released Regulatory Notice 16-11...more

4/11/2016 - CFTC Corporate Governance EU Exchange-Traded Products FDIC Filing Requirements FINRA Guidance Update MiFIR Natural Gas Remuneration Swaps UCITS V

Corporate and Financial Weekly Digest - Volume XI, Issue 12

SEC/CORPORATE - SEC Issues No-Action Relief Pursuant to Rule 14a-8(i)(9) - As previously reported in the Corporate and Financial Weekly Digest edition of October 30, 2015, the Securities and Exchange Commission's...more

3/28/2016 - CD&I Federal Reserve No-Action Relief Prepaid Payment Products Rule 14a-8 Shareholder Proposals

NFA To Review Initial Margin Models for SDs and MSPs

National Futures Association (NFA) has issued a notice reminding its swap dealer (SD) and major swap participant (MSP) members of their obligations under the new uncleared swap margin requirements adopted by the Commodity...more

3/15/2016 - Major Swap Participants Margin Requirements NFA Risk-Based Approaches Swap Dealers

Corporate and Financial Weekly Digest - Volume XI, Issue 10

BROKER-DEALER - SEC Announces Creation of Office of Risk and Strategy - On March 8, the Securities and Exchange Commission announced the creation of the Office of Risk and Strategy (ORS) within the SEC’s Office of...more

3/14/2016 - Basel III EU Major Swap Participants Margin Requirements Person of Significant Control (PSC Register) Senior Managers Insurers Regime (SMIR) Swap Dealers UK

Enhanced Price Disclosures for Certain Retail Customers Approved by FINRA

The Financial Industry Regulatory Authority’s Board of Governors has approved a proposal that would require member firms to disclose to retail investors the “mark-up” or “mark-down” from the prevailing market price for...more

3/8/2016 - Disclosure Requirements FINRA TRACE

Corporate and Financial Weekly Digest - Volume XI, Issue 9

SEC/CORPORATE - SEC Chair Addresses Advisory Committee on Small and Emerging Companies - On February 25, Securities and Exchange Commission Chair Mary Jo White addressed members of the SEC’s Advisory Committee on...more

3/7/2016 - Bonuses CRD IV Directive Credit Default Swaps Cybersecurity Disclosure Requirements Emerging Growth Companies EU Swap Clearing TRACE UCITS UK

NFA’s Interpretive Notice on Information Systems Security Programs Becomes Effective on March 1

National Futures Association (NFA) has issued a reminder that its interpretive notice on information systems security programs becomes effective on March 1. The interpretive notice, which was discussed in detail in the...more

2/25/2016 - Information Systems Security Program (ISSP) NFA

CFTC Grants Relief for End Users from Trade Option Filing Requirements

The Commodity Futures Trading Commission’s Division of Market Oversight (DMO) has issued CFTC Letter No. 16-10, which provides temporary no-action relief from certain trade option reporting requirements to market participants...more

2/24/2016 - CFTC Exemptions Major Swap Participants No-Action Relief Swap Dealers

CFTC Designates NFA as SDR Data Recipient

The Commodity Futures Trading Commission has issued an order authorizing National Futures Association (NFA) as a designee of the CFTC for purposes of receiving direct electronic access to swap data repository (SDR) data. All...more

2/24/2016 - CFTC NFA Swap Data Repositories

CFTC Grants Relief to Certain Non-U.S. Intermediaries

The Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (DSIO) has granted no-action relief to certain intermediaries located outside the United States. As background, CFTC Regulation...more

2/24/2016 - CFTC CPOs Exemptions No-Action Relief Registration Requirement

Corporate and Financial Weekly Digest - Volume XI, Issue 7

SEC/CORPORATE - SEC Advisory Committee on Small and Emerging Companies to Discuss Capital Formation Landscape for Small and Emerging Companies - The Securities and Exchange Commission announced that its Advisory...more

2/22/2016 - Benchmarks Capital Formation Emerging Growth Companies EU NFA No-Action Letters No-Action Relief Rule 14a-8 Swaps UK

CFTC and German Regulators Sign Memorandum of Understanding

The Commodity Futures Trading Commission, German regulators Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin) and Deutsche Bundesbank (Bundesbank) have entered into a memorandum of understanding (MOU) related to the...more

2/3/2016 - CFTC Clearing Agencies Germany Memorandum of Understanding Supervision

CFTC Approves Registration to 18 Swap Execution Facilities

The Commodity Futures Trading Commission has issued orders granting permanent registration to 18 swap execution facilities (SEFs) that had been operating under temporary registration status. The SEFs approved for registration...more

2/2/2016 - CFTC Registration SEFs

Corporate and Financial Weekly Digest - Volume XI, Issue 4

SEC/CORPORATE - Crowdfunding Portals Can Now Register With the SEC - As discussed in the November 6, 2015 edition of the Corporate and Financial Weekly Digest, on October 30, 2015, the Securities and Exchange...more

2/1/2016 - Crowdfunding Cyber Attacks Electronic Filing Germany Hedge Funds Memorandum of Understanding Regulation C SEFs Senior Managers Insurers Regime (SMIR) Supervision UK

NFA Revises SD and MSP 4s Review Process

National Futures Association (NFA) has revised its review process for swap dealer (SD) and major swap participant (MSP) applications under Section 4s of the Commodity Exchange Act. Effective immediately, SDs and MSPs are no...more

1/14/2016 - Commodities Exchange Act Major Swap Participants NFA Swap Dealers

CFTC Proposes Alternative to Fingerprinting Requirement for Foreign Individuals

The Commodity Futures Trading Commission has proposed to amend Regulation 3.21 to provide an exemption for the fingerprinting requirements for an individual who is a principal or associated person of a registrant, if such...more

1/13/2016 - CFTC Criminal Background Checks Exemptions Fingerprints Foreign Nationals

CFTC Requests Comment on Draft Technical Specifications for Swap Data

The staff of the Commodity Futures Trading Commission has published for comment draft technical specifications for certain swap data elements, including data that are currently reportable under Part 45 of CFTC Regulations as...more

1/13/2016 - CFTC Comment Period Swaps Technical Standards

CFTC Reminds SDs and MSPs of Swap Reporting Obligations

The Division of Swap Dealer and Intermediary Oversight of the Commodity Futures Trading Commission has issued an advisory to remind swap dealers (SDs) and major swap participants (MSPs) of their swap data reporting...more

1/13/2016 - Major Swap Participants Reporting Requirements Swap Dealers

CFTC Provides Relief to SEFs From Audit Trail Requirements Related to Post-Trade Allocation Information

The Division of Market Oversight of the Commodity Futures Trading Commission has issued temporary no-action relief to swap execution facilities (SEFs) from certain audit trail requirements related to post-trade allocations....more

1/13/2016 - Allocation of Funds Audit Reports CFTC No-Action Relief SEFs

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