Peter J. Shea

Peter J. Shea

Katten Muchin Rosenman LLP

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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)

Corporate and Financial Weekly Digest - Volume IX, Issue 44

In this issue: - SEC Sanctions 10 Companies for Disclosure Failures Surrounding Financing Deals and Stock Dilution - Delaware Court of Chancery Rejects Entire Fairness Review in Absence of Conflicted...more

11/10/2014 - CFTC Compliance Dilution Disclosure Requirements Enforcement Enforcement Actions FCMs Financing FINRA Mutual Funds NFA Recordkeeping Requirements SEC UK Virtual Currency

Corporate and Financial Weekly Digest - Volume IX, Issue 5

In this issue: - FTC Announces New Filing Thresholds for Hart-Scott-Rodino Pre-Merger Notifications - SEC Division of Corporation Finance Issues Three C&DIs Relating to “Unbundling Rule” - NFA Members...more

2/4/2014 - Bitcoins Bundling Rules CFTC Derivative Suit FinCEN FTC Hart-Scott-Rodino Act Insider Trading NFA Pre-Merger Filing Requirements SEC Shareholder Litigation Shareholders The Clayton Act Virtual Currency

Corporate and Financial Weekly Digest - Volume IX, Issue 4

In this issue: - ISS Updating QuickScore Methodology and Opening Data Validation Period - First MAT Determinations Are Deemed Certified - CFTC Interdivisional Working Group to Review Swap...more

1/27/2014 - Burger King CFTC Electronic Trading FFIEC Insider Trading ISS LLC NFA SEC Swaps

NFA Provides Bylaw 1101 Guidance to Commodity Pool Operators of Investment Companies

Under amended Commodity Futures Trading Commission Regulation 4.5, registered investment advisers (RIAs) to registered investment companies engaging in more than minimal commodity trading activities will be required to...more

12/29/2012 - CFTC CPO Investment Adviser NFA Registration

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