Mark Wood

Mark Wood

Katten Muchin Rosenman LLP

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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 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 White Paper

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

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 Committee on Small and Emerging Companies (Committee) will hold another public meeting on February 25 to examine the capital formation landscape for small and...more

2/23/2016 - Capital Formation Emerging Growth Companies SEC

SEC Issues No-Action Letters With Respect to Rule 14a-8(i)(10)

On February 12, the Securities and Exchange Commission’s Division of Corporation Finance (the Division) posted on its website 18 no-action letters relating to the exclusion of proxy access shareholder proposals under Rule...more

2/23/2016 - No-Action Letters Proxy Access Rule 14a-8 SEC Shareholder Proposals

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

SEC Approves FINRA’s Funding Portal Rules

On January 22, the Securities and Exchange Commission approved the Financial Industry Regulatory Authority’s funding portal rules and related forms for entities functioning as SEC-registered funding portals pursuant to...more

2/9/2016 - FINRA Funding Portal Registration Requirement Regulation C SEC

Corporate and Financial Weekly Digest - Volume XI, Issue 5

SEC/CORPORATE - SEC Approves FINRA’s Funding Portal Rules - On January 22, the Securities and Exchange Commission approved the Financial Industry Regulatory Authority’s funding portal rules and related forms for...more

2/8/2016 - Crowdfunding Cybersecurity Deposit Insurance Derivatives Clearing Organizations Dodd-Frank European Securities and Markets Authority (ESMA) Funding Portal Major Swap Participants MiFID II Pension Schemes

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 Commission adopted “Regulation Crowdfunding,” which consists of final rules that will...more

2/2/2016 - Crowdfunding Funding Portal Regulation C SEC

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

SEC Adopts Interim Final Rules as Mandated by the FAST Act

On January 13, the Securities and Exchange Commission announced that it adopted interim final rules to implement changes to Form S-1 and Form F-1 mandated by the Fixing America’s Surface Transportation Act (FAST Act). The...more

1/26/2016 - Emerging Growth Companies Fixing America’s Surface Transportation Act (FAST Act) Registration Statement Required Forms SEC

Corporate and Financial Weekly Digest - Volume XI, Issue 3

SEC/CORPORATE - SEC Settles With Adviser That Allegedly Overcharged Management Fees and Misled Investors - On January 19, the Securities and Exchange Commission announced that it had settled with Equinox Fund...more

1/25/2016 - EU Fixing America’s Surface Transportation Act (FAST Act) Hart-Scott-Rodino Act Management Fees No-Action Relief REMIT Swaps

PCAOB Adopts New Rules Requiring Disclosure of Participants in an Audit

On December 15, 2015, the Public Company Accounting Oversight Board (PCAOB) adopted new rules and related amendments to auditing standards (Rules) to provide investors with more information about who participates in public...more

1/13/2016 - Auditors PCAOB Publicly-Traded Companies SEC Transparency

SEC Division of Corporation Finance Issues Four Additional C&DIs on FAST Act

Since the adoption of the Fixing America’s Surface Transportation Act (FAST Act) on December 4, 2015, the Division of Corporation Finance (Division) of the Securities and Exchange Commission has issued six Compliance and...more

1/12/2016 - C&DIs Equity Securities Federal Savings Associations Fixing America’s Surface Transportation Act (FAST Act) Holding Companies SEC

Corporate and Financial Weekly Digest - Volume XI, Issue 1

SEC/CORPORATE - PCAOB Adopts New Rules Requiring Disclosure of Participants in an Audit - On December 15, 2015, the Public Company Accounting Oversight Board (PCAOB) adopted new rules and related amendments to...more

1/11/2016 - Banking Sector C&DIs Examination Priorities Fixing America’s Surface Transportation Act (FAST Act) M&A Brokers Pay-To-Play PCAOB Regulation Technical Standards (RTS) SEC

SEC Proposes Payment Disclosure Rules for Resource Extraction Issues

On December 11, the Securities and Exchange Commission proposed Rule 13q-1 of the Securities Exchange Act of 1934 (Exchange Act), often referred to as the “resource extraction rule,” which would require an issuer to disclose...more

12/22/2015 - Disclosure Requirements Energy Sector Extractive Industry Transparency Rule Proposed Regulation SEC Securities Exchange Act

SEC Division of Corporation Finance Issues New C&DIs on FAST Act

As previously reported, President Obama signed into law the Fixing America’s Surface Transportation Act (FAST Act) on December 4. The transportation bill includes several provisions related to securities laws and...more

12/22/2015 - C&DIs Emerging Growth Companies Financial Statements Fixing America’s Surface Transportation Act (FAST Act) SEC

Corporate and Financial Weekly Digest - Volume X, Issue 48

SEC/CORPORATE SEC Division of Corporation Finance Issues New C&DIs on FAST Act - As previously reported, President Obama signed into law the Fixing America’s Surface Transportation Act (FAST Act) on December 4. The...more

12/21/2015 - C&DIs CFTC Cybersecurity Disclosure Requirements EGRPRA Extractive Industry Transparency Rule Fixing America’s Surface Transportation Act (FAST Act) Margin Requirements MiFID II SEC

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