Mark Reyes

Mark Reyes

Katten Muchin Rosenman LLP

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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 44

SEC Issues New C&DI Relating to Submission of Annual Reports to SEC - On November 2, the Division of Corporation Finance (Division) of the Securities and Exchange Commission issued a new Compliance and Disclosure...more

11/14/2016 - C&DIs Canada Chief Compliance Officers Corporate Governance EU Forex MiFID II MiFIR Passporting Pay-for-Performance Proxy Season UK UK Brexit

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 42

SEC/CORPORATE - SEC Division of Corporation Finance Issues C&DIs on Exempt Offerings Under Rule 701 and Sales of Securities Under Rule 144(d) - On October 19, the staff of the Division of Corporation Finance of...more

10/31/2016 - C&DIs EU EU Market Abuse Regulation (EU MAR) Government Bonds Market Soundings Public Communications Regulation AT Regulation SCI Rule 144 UK

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 34

SEC/CORPORATE - SEC Increases Registration Statement Filing Fees for Fiscal Year 2017 - On August 31, the Securities and Exchange Commission announced that, effective October 1, the fees that public companies and...more

9/7/2016 - Electronic Filing EU Filing Fees IOSCO MSRB PACs Pay-To-Play Registration Statement UK

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 32

SEC/CORPORATE - 2016 Amendments to Delaware General Corporation Law Highlight Two-Step Mergers and Appraisal Rights - On August 1, a number of amendments to the Delaware General Corporation Law (DGCL) went into...more

8/22/2016 - Amended Regulation Appraisal Rights Delaware General Corporation Law Disclosure Requirements EU Market Abuse Regulation (EU MAR) Financial Conduct Authority (FCA) Forex Mergers SIFMA Swap Dealers

Corporate and Financial Weekly Digest - Volume XI, Issue 28

SEC Proposes Amendments To Update and Simplify Disclosure Requirements: A Closer Look - On July 13, the Securities Exchange Commission proposed and requested comment regarding rule amendments to update and simplify...more

7/28/2016 - AIFMD Passport DTCC EU Eurozone GAAP IFRS MiFID II Regulation S-K Regulation S-X TRACE Transparency

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

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 23

SEC/CORPORATE - SEC Adopts Amendment to Form 10-K Permitting the Summary of Business and Financial Information - On June 1, the Securities and Exchange Commission adopted an interim final rule (Rule), as mandated...more

6/13/2016 - Algorithmic Trading European Commission Fixing America’s Surface Transportation Act (FAST Act) Form 10-K Interest Rate Swaps MiFID II Registration Requirement Security-Based Swaps Swap Clearing

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 16

SEC/CORPORATE SEC Releases Registration Fee Estimator On April 18, the Securities and Exchange Commission announced the release of an online tool that will assist companies in calculating registration fees relating to...more

4/25/2016 - Business Conduct Standards Canada Chief Compliance Officers Dodd-Frank EDGAR EU High Frequency Trading Major Swap Participants Memorandum of Understanding NCUA Pensions SFTR UK

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 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

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 Small and Emerging Companies (Committee) at the opening of the Committee’s most recent meeting. As...more

3/8/2016 - Capital Formation Crowdfunding Emerging Growth Companies Regulation A SEC

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

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