Mark Wood

Katten Muchin Rosenman LLP

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Corporate and Financial Weekly Digest - Volume XII, Issue 43

SEC/CORPORATE - On November 1, the Division of Corporation Finance of the Securities and Exchange Commission (Division) published Staff Legal Bulletin No. 14I (SLB 14I), which provides new, issuer-friendly guidance on...more

11/13/2017 / Capital Acquisition Broker (CAB) , Code of Conduct , Consolidated Audit Trail , Corporate Governance , Financial Services Industry , Foreign Financial Institutions (FFI) , Pay-To-Play , Proxy Season , Robo-Advisors , Shareholder Proposals

Corporate and Financial Weekly Digest - Volume XII, Issue 32

SEC/CORPORATE - SEC Approves NYSE Amendments Regarding Notice Related to Dividends and Stock Distributions - On August 14, the Securities and Exchange Commission approved a rule change which will now require New York...more

8/28/2017 / Capital Acquisition Broker (CAB) , EMIR , EU , Filing Fees , NYSE , Pay-To-Play , Registration Statement , Shareholder Distributions

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

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