Robert Weiss

Robert Weiss

Katten Muchin Rosenman LLP

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Corporate and Financial Weekly Digest - Volume XII, Issue 10

CFTC Extends Public Comment Period for Swap Dealers and Major Swap Participants Minimum Capital Requirement Proposal - On March 16, the Commodity Futures Trading Commission published in the Federal Register its decision...more

3/20/2017 - Article 50 Treaty of the EU Comment Period EU EU Central Securities Depository Directive Major Swap Participants Notification of Withdrawal UK UK Brexit

Corporate and Financial Weekly Digest - Volume XII, Issue 9

ISS Updates Frequently Asked Questions for US Proxy Voting Policies and Procedures for 2017 - Proxy advisory firm Institutional Shareholder Services (ISS) recently updated its frequently asked questions (FAQs) for US...more

3/13/2017 - Accredited Investors Corporate Governance Hyperlink ISS Proxy Season Registered Investment Advisors Regulation S-K Shareholder Proposals UK Brexit

Registered Investment Advisers Take Note: New SEC Custody Rule Guidance

Registered investment advisers should take note of recent pronouncements by the staff of the SEC's Division of Investment Management (the "Division") regarding Rule 206(4)-2 (the "Custody Rule") of the Investment Advisers Act...more

3/8/2017 - Custody Rule No-Action Letters Registered Investment Advisors Risk Alert SEC

Corporate and Financial Weekly Digest - Volume XII, Issue 8

EU and Prudential Regulators Issue Statements on March 1 Compliance With Swap Margin Rules - Lacking the ability to issue formal no-action relief from strict compliance with the variation margin rules for uncleared swaps...more

2/27/2017 - EMIR EU FSMA Margin Requirements Private Funds Swaps UK

Corporate and Financial Weekly Digest - Volume XII, Issue 7

BROKER-DEALER - FINRA Proposes Amendments to Rule Pertaining to Communications with the Public - The Financial Industry Regulatory Authority (FINRA) is seeking comment with respect to proposed amendments (the...more

2/20/2017 - Consolidated Audit Trail EU FINRA Fixed Income Investments MiFID II MiFIR

Corporate and Financial Weekly Digest - Volume XII, Issue 6

SEC/CORPORATE - Acting SEC Chair Directs Staff to Reconsider Pay Ratio Disclosure Rule - On February 6, the acting Securities and Exchange Commission Chairman, Michael Piwowar, issued a statement soliciting public...more

2/13/2017 - Conflict Mineral Rules Country-by-Country EEA EU Guide Open-Ended Fund Companies (OFCs) Pay Ratio Position Limits Trump Administration UK

Corporate and Financial Weekly Digest - Volume XII, Issue 5

SEC/Corporate - SEC Releases Rule 504 Small Entity Compliance Guide for Issuers - The Securities and Exchange Commission recently released a Small Entity Compliance Guide for Issuers, which provides a brief summary...more

2/6/2017 - AIFM AIFMD Conflict Mineral Rules EDGAR EEA Electronic Blue Sheets Electronic Filing EMIR EU Form SHC MiFID II No-Action Relief Rule 504 UK UK Brexit

Corporate and Financial Weekly Digest - Volume XII, Issue 4

SEC Updates to Form PF FAQs - On January 18, the Securities and Exchange Commission’s Division of Investment Management updated its Form PF FAQs. Registered investment advisers managing private funds with at least $150...more

1/30/2017 - Article 50 Treaty of the EU Asset Management EU Form PF Hart-Scott-Rodino Act IOSCO MSRB Regulation AT Residual Interest Threshold Requirements UK UK Brexit

Corporate and Financial Weekly Digest - Volume XII, Issue 3

FINRA Issues Report on Implications of Blockchain - Broker-Dealer - On January 18, the Financial Industry Regulatory Authority, responding to increased industry interest in distributed ledger technology (DLT) known...more

1/23/2017 - Blockchain Margin Requirements MiFID II Proposed Amendments Reporting Requirements UK Brexit

Corporate and Financial Weekly Digest - Volume XII, Issue 2

2017 Examination Priorities Announced by the SEC - On January 12, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) released its 2017 examination priorities, which seek to...more

1/17/2017 - CPOs CTA EEA Foreign Boards of Trade (FBOT) Forex MiFID II SEC Examination Priorities UK Brexit

Corporate and Financial Weekly Digest - Volume XII, Issue 1

SEC/CORPORATE - President-Elect Trump Nominates Clayton as SEC Chair - On January 4, President-elect Donald Trump announced his nomination of Jay Clayton to serve as chair of the Securities and Exchange Commission,...more

1/9/2017 - Derivatives Clearing Organizations Equity Plans EU European Securities and Markets Authority (ESMA) Examination Priorities FFIEC Forex ISS MiFID II No-Action Relief Trump Administration UK Brexit

Corporate and Financial Weekly Digest - Volume XI, Issue 48

SEC/CORPORATE - SEC Division of Corporation Finance Issues 35 New C&DIs Regarding Foreign Private Issuers, QIBs and Offshore Offerings - On December 8, the staff (Staff) of the Securities and Exchange Commission’s...more

12/19/2016 - Australia Banking Examinations C&DIs Central Counterparties Counterparties EU FDIC Foreign Private Issuers Mexico No-Action Relief Regulation S Transitional Arrangements UK Brexit

Corporate and Financial Weekly Digest - Volume XI, Issue 47

SEC/CORPORATE - Supreme Court Rules on Insider Trading Involving Family and Friends - In its first insider trading decision in nearly two decades, the US Supreme Court ruled unanimously to uphold an insider trading...more

12/12/2016 - Aggregation Rules Capital Requirements FINRA Insider Trading MiFID II Position Limits Reporting Requirements UK Brexit US v Salman

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 40

BROKER-DEALER – “Trade Match” and “Trade Acceptance” Clearing Submissions on FINRA’s Alternative Display Facility – On October 7, the Financial Industry Regulatory Authority issued a Trade Reporting Notice regarding...more

10/17/2016 - Block Trades Cross-Border Transactions Cybersecurity EU Foreign Subsidiaries MiFID II SEFs Senior Managers Insurers Regime (SMIR) Transparency 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 38

BROKER-DEALER - FINRA Proposes Rule to Modify Fees and Transaction Credits for the FINRA/NYSE Trade Reporting Facility - On September 28, the Financial Industry Regulatory Authority proposed an amendment to modify...more

10/3/2016 - Clearing Agents CPOs CTA Form PQR Interest Rate Swaps Proposed Amendments Swap Clearing

Corporate and Financial Weekly Digest - Volume XI, Issue 36

BROKER-DEALER - SEC Chair Gives Speech on Equity Market Structure - On September 14, Securities and Exchange Commission Chair Mary Jo White gave a speech titled “Equity Market Structure in 2016 and for the Future”...more

9/19/2016 - AML/CFT Dodd-Frank Equity Markets EU Exchange-Traded Products Regulation SCI Regulation Technical Standards (RTS) Reporting Requirements

Corporate and Financial Weekly Digest - Volume XI, Issue 35

BROKER-DEALER FINRA – Proposes Changes to Its Inter-Dealer Quotation System for OTC Equity Securities – The Financial Industry Regulatory Authority has proposed changes to its inter-dealer quotation system referred...more

9/13/2016 - Cybersecurity Financial Conduct Authority (FCA) FINRA Japan MiFID II UK Uncleared Swaps

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

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