Mark Reyes

Mark Reyes

Katten Muchin Rosenman LLP

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Meeting of the SEC Advisory Committee on Small and Emerging Companies

The Securities and Exchange Commission’s Advisory Committee on Small and Emerging Companies (Committee) met on June 3 to discuss various topics including (1) SEC rules with respect to intrastate crowdfunding; (2) the...more

6/17/2015 - Acquisitions Business Development Crowdfunding Emerging Growth Companies Financial Markets JOBS Act Mary Jo White Mergers NASAA Rule 147 Safe Harbors SEC Securities Act of 1933 Small Business

SEC Staff Releases Analysis Related to Pay Ratio Disclosure Rules

On June 4, the staff of the Securities and Exchange Commission (Staff) released analysis related to its proposed rules for pay ratio disclosure, which analysis evaluates the potential effects of excluding different...more

6/9/2015 - Compensation & Benefits Executive Compensation Proposed Regulation SEC Total Shareholder Return (TSR)

Corporate & Financial Weekly Digest - Volume X, Issue 22

In This Issue: - SEC Staff Releases Analysis Related to Pay Ratio Disclosure Rules - States Challenge Blue Sky Preemption Under Regulation A+ - FINRA Proposes Revised BrokerCheck Hyperlink Rule -...more

6/8/2015 - Blue Sky Laws BrokerCheck Capital Markets CFTC Clawbacks Disclosure Requirements EU European Commission Executive Compensation Financial Conduct Authority FINRA Hedge Funds Investment Adviser National Futures Association NFA Preemption Public Comment Regulation A SEC Total Shareholder Return (TSR)

Section 16(b) Decision Provides Important Guidance

A recent opinion by the US District Court for the Southern District of New York denying a motion to dismiss “short-swing” profit claims under Section 16(b) of the Securities Exchange Act of 1934 against members of an alleged...more

5/28/2015 - Hedge Funds Investment Adviser Motion to Dismiss Securities Exchange Act Shareholders Short-Swing Trading Stocks

Corporate & Financial Weekly Digest - Volume X, Issue 20

In this issue: - Section 16(b) Decision Provides Important Guidance - FINRA Requests Comment on Proposed Amendments to Rules Governing Communications With the Public - Form BE-10 Filing Deadline...more

5/26/2015 - 16(b) Attorney's Fees Banking Sector CFTC FINRA Insider Trading OCC

NASAA Launches a Streamlined Filing Process for Form D

The North American Securities Administrators Association (NASAA) recently announced the launch of the online Electronic Filing Depository (EFD). The EFD is an online system that creates a streamlined process to enhance the...more

5/5/2015 - Electronic Filing Form D Filing NASAA

SEC Proposes New Pay-for-Performance Rules

On April 29, the Securities and Exchange Commission proposed new rules to require annual disclosure in proxy and information statements under the Securities Exchange Act of 1934 regarding the relationship between executive...more

5/5/2015 - Disclosure Requirements Dodd-Frank Executive Compensation Pay-for-Performance Proposed Regulation SEC Total Shareholder Return (TSR)

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

Update: Proposed Amendments to DGCL, Including Ban on Fee-Shifting and Permitting Exclusive Forum Provisions

The Corporation Law Section of the Delaware State Bar Association has approved, in substantially the form proposed by the Delaware Corporate Council, amendments to the General Corporation Law of the State of Delaware (DGCL)...more

4/21/2015 - Appraisal Bylaws Corporate Charters Delaware General Corporation Law Exclusive Forum Fee-Shifting Proposed Amendments

SEC Adopts Final Rules for Regulation A+ Offerings

On March 25, the Securities and Exchange Commission adopted final rules that will expand the exemption from registration under the Securities Act of 1933 provided by Regulation A to include an exemption for up to $50 million...more

3/31/2015 - Final Rules JOBS Act Private Placements Registration Requirement Regulation A SEC Small Offering Exemptions

Corporate & Financial Weekly Digest - Volume X, Issue 12

In this issue: - SEC Adopts Final Rules for Regulation A+ Offerings - FINRA Issues Notice on New Rules and Amendments Relating to Transaction-Based Compensation, Membership and Sanctions - FINRA Issues...more

3/30/2015 - AIFMD Algorithmic Trading CFTC Final Rules FINRA New Guidance Pharmaceutical Manufacturers Regulation A Regulation SHO SEC Securities Fraud Supervision

Meeting of the SEC Advisory Committee on Small and Emerging Companies

The Securities and Exchange Commission’s Advisory Committee on Small and Emerging Companies met on March 4 to discuss various topics related to facilitating the secondary market for trading securities of small and emerging...more

3/10/2015 - Accredited Investors Emerging Growth Companies IPO Public Offerings Regulation A SEC SEC Advisory Committee Small Business Startups

Corporate and Financial Weekly Digest - Volume X, Issue 9

In this issue: - Meeting of the SEC Advisory Committee on Small and Emerging Companies - Financial Action Task Force Publishes Updated List of Deficient Jurisdictions - CFTC to Host Roundtable on...more

3/9/2015 - CFTC Cybersecurity Destruction of Evidence EU FATF Foreign Banks Jurisdiction Risk Alert Sarbanes-Oxley SCOTUS SEC Small Business Volcker Rule

SEC Proposes Rules for Disclosure of Companies’ Hedging Policies

On February 9, as mandated by Section 955 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act), the Securities and Exchange Commission proposed new rules requiring disclosure by US public...more

2/18/2015 - Dodd-Frank Hedging Proposed Regulation Proxy Statements Public Disclosure Publicly-Traded Companies Regulation S-K SEC

Corporate and Financial Weekly Digest - Volume X, Issue 6

In this issue: - SEC Publishes Rules for Reporting Security-Based Swaps - SEC Proposes Rules for Disclosure of Companies’ Hedging Policies - CFTC Extends Relief From Certain OCR Requirements - NFA...more

2/17/2015 - Arbitration Banking Sector Banks Bribery Brokered Deposits Capital Requirements CFTC Clawbacks FDIC Haiti Hedging NFA OCC SEC Security-Based Swaps Subordination

Glass Lewis Enhances its Pay-for-Performance and Equity Plan Models

Glass Lewis, a leading proxy advisory firm, recently announced enhancements to the performance metrics used in both its US and Canadian pay-for-performance (PFP) models and its US equity plan model. The current Glass Lewis...more

2/11/2015 - Corporate Governance Equity Compensation Executive Compensation Google Glass Pay-for-Performance

SEC Advisory Committee on Small and Emerging Companies to Discuss “Accredited Investor” Definition

The Securities and Exchange Commission announced that its Advisory Committee on Small and Emerging Companies (Committee) will hold a public meeting on February 17 to vote on recommendations to the SEC regarding the definition...more

2/11/2015 - Accredited Investors Emerging Growth Companies Public Meetings SEC Small Business

SEC Issues New Debt Tender Offer Guidance

On January 23, the Securities and Exchange Commission’s Division of Corporate Finance issued a no-action letter (New Letter) that (1) substantially revises prior guidance relating to debt tender offers and (2) expands the...more

2/11/2015 - Exchange Offer No-Action Letters Non-Convertible Debt Securities SEC Tender Offers

Corporate and Financial Weekly Digest - Volume X, Issue 5

In this issue: - SEC Advisory Committee on Small and Emerging Companies to Discuss “Accredited Investor” Definition - Glass Lewis Enhances its Pay-for-Performance and Equity Plan Models - SEC Issues New...more

2/9/2015 - Accredited Investors CBOE Cybersecurity Emerging Growth Companies Enforcement Actions Equity Plans ESMA Exchange Offer Federal Reserve FINRA Glass Lewis Pay-for-Performance Ponzi Scheme Private Student Loans Proposed Amendments SEC Small Business Tender Offers

SEC Announces Proxy Voting Roundtable

The Securities and Exchange Commission has announced that it will host a roundtable on February 19 on ways to improve the proxy voting process, with a focus on universal proxy ballots and retail (non-institutional)...more

2/3/2015 - Proxy Voting Guidelines Roundtable SEC Shareholders

Corporate and Financial Weekly Digest - Volume X, Issue 4

In this issue: - SEC Division of Corporation Finance Issues New C&DI Related to Resales Under Regulation S - SEC Announces Proxy Voting Roundtable - CFTC Staff Issues No-Action Relief From Certain...more

2/2/2015 - AIFM Anti-Money Laundering Brokers C&DIs CFTC Clawbacks CME NYMEX EU Directive Forex Insider Trading Major Swap Participants Netherlands No-Action Relief Proxy Voting Guidelines Regulation S Reporting Requirements SEC Swap Dealers UK

SEC Chair Directs Staff to Review Commission Rule Excluding Conflicting Proxy Proposals

On January 16, Securities and Exchange Commission Chair Mary Jo White announced that she has directed the SEC’s staff (Staff) to review Rule 14a-8(i)(9) promulgated under the Securities Exchange Act of 1934, which allows an...more

1/27/2015 - Corporate Governance Issuers Mary Jo White Proxy Access Rule Rule 14a-8 SEC Securities Exchange Act Shareholder Proposals

Corporate and Financial Weekly Digest - Volume X, Issue 3

In this issue: - SEC Chair Directs Staff to Review Commission Rule Excluding Conflicting Proxy Proposals - SEC Comments on FINRA's Proposed Rule Amendment to Increase Pricing Disclosure - CFTC Grants...more

1/26/2015 - Broker-Dealer Canada CFTC Class Action Conflicts of Interest ESMA FINRA Forex Hart-Scott-Rodino Act Hong Kong Layering Mary Jo White Mexico Mining Mortgages NFA OCC Proposed Regulation Proxy Access Rule PSLRA Scienter SEC Securities Shareholder Proposals Threshhold Requirements Whole Foods

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