Robert Weiss

Robert Weiss

Katten Muchin Rosenman LLP

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Corporate and Financial Weekly Digest - Volume IX, Issue 39

In this issse: - ISS Publishes Results of Annual Global Voting Policy Survey - FINRA Requests Comment on a Rule Proposal to Implement the Comprehensive Automated Risk Data System - NFA Issues Notice...more

10/6/2014 - AIFMD CPOs CTA DCMs Derivatives Enforcement Enforcement Actions ESMA EU FINRA Fraud ISS MiFID NFA Risk Assessment Risk Management SEC Securities Fraud SEFs

Corporate and Financial Weekly Digest - Volume IX, Issue 33

In this issue: - ISS Launches New Equity Plan Data Verification Portal - ISDA Publishes Protocol for 2014 Credit Derivatives Definitions - FinCEN Issues Advisories for US Financial Institutions -...more

8/25/2014 - CFTC Class Action Class Certification Compliance Contests & Promotions Derivatives EMIR Equity Plans ESMA EU FCA FinCEN Fraud ISDA ISS Judge Rakoff OCC Rule 10(b) SEC Security-Based Swaps SEFs Social Media Swap Dealers Swaps

Corporate and Financial Weekly Digest - Volume IX, Issue 32

In this issue: - SEC’s Office of Investor Education and Advocacy Releases Alert on Identifying Fraudulent Private Placements - ICE Futures U.S. Issues Amendments to EFRP Rule and FAQs - Consumer Financial...more

8/18/2014 - AIFMD Banks Derivative Suit ESMA EU FCA Federal Savings Associations Fraud ICE OCC OCIE PSLRA SEC Securities Fraud Virtual Currency

Corporate and Financial Weekly Digest - Volume IX, Issue 25

In this issue: - Delaware Court of Chancery Rules That a Major Debt Holder and 48 Percent Stockholder Is a Controlling Stockholder and Owes Fiduciary Duties to Minority Stockholders - Delaware Court of Chancery...more

6/23/2014 - Compliance Controlling Stockholders Cross-Border Debt Debtors Disclosure Requirements FCMs Fiduciary Duty FINRA Fraud Investment Adviser Minority Shareholders Real Estate Market SEC Shareholder Litigation Shareholders Swaps

Corporate and Financial Weekly Digest - Volume IX, Issue 24

In this issue: - Commissioner Kara M. Stein Calls for More Stringent Net Capital Requirements for Broker Dealers - US Marshals Service Announces Auction of Silk Road Bitcoins - Investment Adviser Accused...more

6/16/2014 - Akamai Technologies Bitcoins Broker-Dealer Digital Assets Enforcement Enforcement Actions Fraud Investment Adviser SEC Section 10(b) Section 10(b)-5 Securities Exchange Act Securities Fraud Virtual Currency

Corporate and Financial Weekly Digest - Volume IX, Issue 23

In this issue: - SEC Chair Gives Speech on Equity Market Structure - New CFTC Commissioners Confirmed; Chairman Sworn In - CFTC Extends No-Action Relief for Certain Transaction-Level Requirements...more

6/9/2014 - CFTC Commodity Pool CPO Cross-Border Derivatives Clearing Organizations Equity Markets Fraud NFA No-Action Relief SEC Swap Dealers Swaps

Corporate and Financial Weekly Digest - Volume IX, Issue 22

In this issue: - Delaware Legislation Banning Fee-Shifting in Bylaws and Charters - CFTC Proposes to Amend De Minimis Threshold for Swaps with Utility Providers - CFTC Grants Recordkeeping Relief for...more

6/2/2014 - Arbitration Broker-Dealer Bylaws CFTC Commodities De Minimis Claims Derivatives FCPA Fee-Shifting Statutes Foreign Official Fraud Instrumentality Mandatory Arbitration Clauses SEFs Swaps Utilities Sector

Corporate and Financial Weekly Digest - Volume IX, Issue 20

In this issue: - Delaware Supreme Court Upholds Fee-Shifting Bylaw - FINRA Proposes Changes to FINRA Rules 7410 and 2121 - CFTC Staff Announces Streamlined No-Action Relief Process for Certain...more

5/19/2014 - CFTC Commodity Pool CPO Criminal Prosecution Fee-Shifting Statutes FINRA Fraud White Collar Crimes

Corporate and Financial Weekly Digest - Volume IX, Issue 16

In this issue: - US Court of Appeals for the District of Columbia Circuit Partially Invalidates Conflict Minerals Rule - FINRA Proposes Rule 2081 to Prohibit “Bargained-For” Expungements - SEC Issues FAQs...more

4/21/2014 - Broker-Dealer CME Conflict Mineral Rules Expungement FINRA Fraud Hedge Funds SEC

Corporate and Financial Weekly Digest - Volume IX, Issue 10

In this issue: - FINRA Requests Comment on Proposed Rule Set for Limited Corporate Financing Brokers - SEC Issues No-Action Relief to Broker Dealers from Financial Responsibility Rule 15c3-3 Amendments -...more

3/10/2014 - Appeals CFTC Disgorgement False Reporting Financial Reporting FINRA Fraud Mergers SEC

Corporate and Financial Weekly Digest - Volume IX, Issue 6

In this issue: - SEC Division of Corporation Finance Issues Guidance on Rule 506(c) Private Placements - SEC Issues No-action Relief Regarding Registration of M&A Brokers - CFTC Issues Guidance on New...more

2/11/2014 - Alternative Investment Funds Bank Fraud Banks Brokers CFTC Due Diligence Exemptions Filing Requirements Fraud Investment Adviser Investment Funds No-Action Relief Private Placements Registration Rule 506 Offerings SEC Swap Dealers Swaps

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