James M. Brady

James M. Brady

Katten Muchin Rosenman LLP

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Corporate and Financial Weekly Digest - Volume X, Issue 33

SEC/CORPORATE - SEC Decreases Registration Statement Filing Fees for Fiscal Year 2016 - On August 27, the Securities and Exchange Commission announced that, effective October 1, the fees that public companies and...more

8/31/2015 - CFTC Counterparties Derivatives Equity Markets ESMA EU Globally Harmonized System IOSCO Nasdaq SEC

CFTC Proposes Cleared Swap Reporting Amendments

The Commodity Futures Trading Commission has proposed to amend Part 45 of its regulations insofar as they relate to the reporting to a swaps data repository of swaps that are cleared by a derivatives clearing organization...more

8/26/2015 - CFTC Counterparties Derivatives Derivatives Clearing Organizations Major Swap Participants Proposed Amendments Swaps

Corporate and Financial Weekly Digest - Volume X, Issue 32

In this issue: - US Court of Appeals for the District of Columbia Circuit Upholds Decision on Conflict Minerals Rule - CFTC Issues Order of Exemption From Registration as a DCO to ASX Clear (Futures) Pty Limited and...more

8/24/2015 - Appeals CFTC Conflict Mineral Rules Derivatives EMIR ESMA Financial Conduct Authority Prudential Regulation Authority Registration Requirement SEC Swap Clearing Swaps Websites

NFA Grants Form PR Reporting Relief to Certain CTAs

National Futures Association (NFA) has notified its member commodity trading advisors (CTAs) that do not direct trading of commodity interest accounts that they are no longer required to file NFA Form PR under NFA Compliance...more

8/13/2015 - CTA Filing Requirements NFA No-Action Relief

CFTC Extends Comment Period on ICE Futures Rule Certification

The Division of Market Oversight of the Commodity Futures Trading Commission, at the request of ICE Futures U.S., has granted a 45-day extension of the public comment period with respect to its proposed amendments to certain...more

8/12/2015 - CFTC Comment Period Commodity Futures Contracts Electricity Energy Sector Proposed Amendments Time Extensions Utilities Sector

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

8/10/2015 - Broker-Dealer Derivatives Clearing Organizations Disclosure Requirements ESMA EU FINRA Greece NASD Pay Ratio Proxy Access Rule Regulation S-K SEC UK

NFA Requires Notice From CPOs that Consolidate Filings of Subsidiary Pools

National Futures Association (NFA) has issued a notice requiring all commodity pool operators (CPOs) that have filed a notice of claim under Commodity Futures Trading Commission Letter No. 14-112 to submit an additional...more

7/23/2015 - CFTC CPOs Filing Requirements National Futures Association

CFTC’s Energy and Environmental Markets Advisory Committee to Meet on July 29

The Commodity Futures Trading Commission’s Energy and Environmental Markets Advisory Committee will hold a public meeting on July 29. The Advisory Committee will discuss how energy and environmental markets would be affected...more

7/21/2015 - CFTC Federal Reserve Forward Contracts Proposed Regulation Public Meetings SEC Trade Options

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

7/20/2015 - Carried Interest CFTC CPOs DSIO FINRA Forward Contracts Oil & Gas Price Manipulation SEC Securities Fraud Shareholder Proposals Shareholders UK

CFTC Further Extends Valuation Data Reporting Relief for SDs and MSPs

The Commodity Futures Trading Commission’s Division of Market Oversight (DMO) has further extended no-action relief from the valuation data reporting requirements for cleared swaps under CFTC Regulation 45.4(b)(2)(ii)....more

6/23/2015 - CFTC Counterparties DMO Major Swap Participants No-Action Relief Reporting Requirements Swap Dealers Swaps

Corporate & Financial Weekly Digest - Volume X, Issue 24

In This Issue: - SEC Denies Motion to Stay Regulation A+ - SEC Requests Public Comment on ETPs - CFTC Further Extends Valuation Data Reporting Relief for SDs and MSPs - Eleventh Circuit Upholds...more

6/22/2015 - Alternative Investment Funds AMF Banking Sector Broker-Dealer Brokers CFTC Commodities Corporate Governance Exchange-Traded Products FDIC Food Commodities Insider Trading Mortgage Lenders Mortgages OCC Regulation A SEC Wire Fraud

NFA Reminds Members to Update Contact Information

National Futures Association (NFA) has issued a notice reminding members to keep current the information contained in NFA’s Online Registration System, including contact information for the member firm and individuals listed...more

5/20/2015 - National Futures Association Registration Requirement

CME Group Combines Block Trade Advisory Notices

CME Group has issued a market regulation advisory notice related to block trades that combines and supersedes similar advisory notices issued by (1) the Chicago Mercantile Exchange and the Chicago Board of Trade and (2) the...more

5/20/2015 - Block Trades CME CME NYMEX

CFTC Requests Public Comment on Nodal Clear’s DCO Application

The Commodity Futures Trading Commission has requested public comment on an application by Nodal Clear, LLC for registration as a derivatives clearing organization. Comments on the application may be submitted by June 8...more

5/19/2015 - CFTC Derivatives Clearing Organizations Public Comment

CFTC Revises Interpretation on Forward Contracts with Embedded Volumetric Optionality

In 2012, the Commodity Futures Trading Commission issued an interpretation that identifies the circumstances in which an agreement, contract or transaction would fall within the forward contract exclusions from the “swap” and...more

5/19/2015 - CFTC Commodities Exchange Act Forward Contracts Major Swap Participants Swap Dealers Swaps

Corporate & Financial Weekly Digest - Volume X, Issue 19

In This Issue: - FINRA's NAC Strengthens Sanction Guidelines Related to Fraud and Suitability - CFTC Revises Interpretation on Forward Contracts with Embedded Volumetric Optionality - CFTC Requests Public...more

5/18/2015 - Banking Sector Broker-Dealer CFTC Class Action CME DOJ Financial Institutions FINRA Virtual Currency

CFTC Proposal Eases Trade Option Obligations for Non-SD/MSP Counterparties

The Commodity Futures Trading Commission has proposed to amend part 32 of its regulations governing trade options to reduce the reporting requirements for counterparties that are not swap dealers or major swap participants...more

5/5/2015 - CFTC Counterparties Major Swap Participants Proposed Amendments Reporting Requirements Swap Dealers

Corporate & Financial Weekly Digest - Volume X, Issue 17

In this issue: - SEC Proposes New Pay-for-Performance Rules - NASAA Launches a Streamlined Filing Process for Form D - CFTC Proposal Eases Trade Option Obligations for Non-SD/MSP Counterparties -...more

5/4/2015 - Canada CFTC Exclusive Remedy Executive Compensation Form D Filing Forum Selection Clause Major Swap Participants NASAA Pay-for-Performance SEC Swap Dealers

CFTC and Australian Regulator Sign Memorandum of Understanding Regarding Cross-Border SDs and MSPs

The Commodity Futures Trading Commission and the Australian Prudential Regulation Authority (APRA) have entered into a memorandum of understanding regarding the supervision of CFTC-registered swap dealers and major swap...more

4/21/2015 - Australia CFTC Depository Institutions Major Swap Participants Memorandum of Understanding Prudential Regulation Authority Swap Dealers

CME Updates Order Routing/Front-End Audit Trail Requirements

The CME Group Exchanges have updated their recordkeeping requirements for order routing/front-end systems connected to the CME Globex platform through CME iLink. These updates include: (1) clarifying the scope of requirements...more

4/8/2015 - CFTC CME Order Routing Recordkeeping Requirements

CFTC Extends CCO Report Filing Deadline

The Division of Swap Dealer and Intermediary Oversight (DSIO) of the Commodity Futures Trading Commission has issued permanent no-action relief from the filing deadline for chief compliance officer (CCO) annual reports....more

4/7/2015 - CFTC Chief Compliance Officers DSIO FCMs Filing Deadlines Major Swap Participants No-Action Relief Swap Dealers

CFTC Extends Portfolio Margining on ICE Clear Europe

The Commodity Futures Trading Commission has issued an amended order authorizing futures commission merchants (FCMs) that are not clearing members of ICE Clear Europe Limited, but carry futures and options on futures...more

4/7/2015 - CFTC Clearing Members FCMs

CFTC Issues Relief to Swap Dealers Regarding Legacy SPV Swaps

The Division of Swap Dealer and Intermediary Oversight (DSIO) of the Commodity Futures Trading Commission has issued no-action relief to swap dealers (SDs) from certain business conduct standards in dealing with...more

4/7/2015 - CFTC DSIO Legacy Funds No-Action Relief SPVs Swap Dealers

Corporate & Financial Weekly Digest - Volume X, Issue 13

In This Issue: - CFTC Extends Portfolio Margining on ICE Clear Europe - CFTC Extends CCO Report Filing Deadline - CFTC Issues Relief to Swap Dealers Regarding Legacy SPV Swaps - CME Updates Order...more

4/6/2015 - Annual Reports CFTC Chief Compliance Officers Class Action CME DSIO ESMA FCMs Filing Deadlines KBR (formerly Kellogg Brown & Root) Major Swap Participants Order Routing SEC SPVs Whistleblowers

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