Robert Weiss

Robert Weiss

Katten Muchin Rosenman LLP

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Corporate and Financial Weekly Digest - Volume X, Issue 33

SEC/CORPORATE - SEC Decreases Registration Statement Filing Fees for Fiscal Year 2016 - On August 27, the Securities and Exchange Commission announced that, effective October 1, the fees that public companies and...more

8/31/2015 - CFTC Counterparties Derivatives Equity Markets ESMA EU Globally Harmonized System IOSCO Nasdaq SEC

Corporate and Financial Weekly Digest - Volume X, Issue 32

In this issue: - US Court of Appeals for the District of Columbia Circuit Upholds Decision on Conflict Minerals Rule - CFTC Issues Order of Exemption From Registration as a DCO to ASX Clear (Futures) Pty Limited and...more

8/24/2015 - Appeals CFTC Conflict Mineral Rules Derivatives EMIR ESMA Financial Conduct Authority Prudential Regulation Authority Registration Requirement SEC Swap Clearing Swaps Websites

Corporate & Financial Weekly Digest - Volume X, Issue 31

SEC Division of Corporate Finance Issues New CD&Is Relating to General Solicitation and Regulation D - On August 6, the Staff of the Division of Corporate Finance of the Securities and Exchange Commission (Staff)...more

8/17/2015 - Banking Sector Broker-Dealer CD&I CFTC Derivatives EFTA EU Exemptive Relief Federal Reserve General Solicitation Issuers Major Swap Participants Regulation D SEC Shadow Banking Small Business Small Business Enterprise and Employment Act UK

Corporate & Financial Weekly Digest - Volume X, Issue 30

SEC Finalizes Rule on Pay Ratio Disclosure - On August 5, the Securities and Exchange Commission adopted the final rule regarding pay ratio disclosure that amends Item 402 of Regulation S-K to implement Section 953(b)...more

8/10/2015 - Broker-Dealer Derivatives Clearing Organizations Disclosure Requirements ESMA EU FINRA Greece NASD Pay Ratio Proxy Access Rule Regulation S-K SEC UK

Corporate & Financial Weekly Digest - Volume X, Issue 29

SEC to Consider Adoption of Pay Ratio Disclosure Rules at August 5 Opening Meeting - On July 29, the Securities and Exchange Commission, pursuant to a “Sunshine Act” notice, stated that it will hold an open meeting on...more

8/3/2015 - AIFMD Disclosure Requirements ESMA EU Foreign Jurisdictions Investment Management Jurisdiction Pay Ratio Remuneration SEC Sunshine Act UCITS

Corporate & Financial Weekly Digest - Volume X, Issue 28

CFTC Extends Designation of DTCC-SWIFT as Provider of Legal Entity Identifiers - On July 20, the Commodity Futures Trading Commission issued an order extending the designation of the Depository Trust and Clearing...more

7/27/2015 - AIFMD AML/CFT Banking Sector CFTC Chief Compliance Officers EU FATF Federal Reserve FinCEN G-SIB Illegal Tipping Insider Trading SEC Securities Fraud

Corporate & Financial Weekly Digest - Volume X, Issue 27

In this issue: - Court of Appeals for Third Circuit Overturns District Court Ruling Regarding Exclusion of Shareholder Proposal From Proxy Statement - FINRA Updates Its Interpretation of the SEC's Financial...more

7/20/2015 - Carried Interest CFTC CPOs DSIO FINRA Forward Contracts Oil & Gas Price Manipulation SEC Securities Fraud Shareholder Proposals Shareholders UK

Corporate & Financial Weekly Digest - Volume X, Issue 26

In this issue: - SEC Seeks Comment on Possible Enhancement of Audit Committee Disclosures - SEC Proposes Rule Requiring Executive Compensation Clawbacks - FINRA Requests Comment on Revised Discretionary...more

7/13/2015 - Audit Committee CFTC Clawbacks Cross-Border Enforcement Actions ESMA FINRA Futures Greece Hong Kong Margin Requirements MiFID II SEC Swaps

Corporate & Financial Weekly Digest - Volume X, Issue 25

In this issue: - Delaware Amends Its Corporate Law to Prohibit Fee-Shifting, Approve Exclusive Forum Provisions and Facilitate At-The-Market Offerings - SEC Division of Corporation Finance Issues New C&DIs Relating...more

6/29/2015 - CFTC FCA Fee-Shifting Financial Conduct Authority LEAP Regulation A SEC UK

Corporate & Financial Weekly Digest - Volume X, Issue 24

In This Issue: - SEC Denies Motion to Stay Regulation A+ - SEC Requests Public Comment on ETPs - CFTC Further Extends Valuation Data Reporting Relief for SDs and MSPs - Eleventh Circuit Upholds...more

6/22/2015 - Alternative Investment Funds AMF Banking Sector Broker-Dealer Brokers CFTC Commodities Corporate Governance Exchange-Traded Products FDIC Food Commodities Insider Trading Mortgage Lenders Mortgages OCC Regulation A SEC Wire Fraud

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 & Financial Weekly Digest - Volume X, Issue 17

In this issue: - SEC Proposes New Pay-for-Performance Rules - NASAA Launches a Streamlined Filing Process for Form D - CFTC Proposal Eases Trade Option Obligations for Non-SD/MSP Counterparties -...more

5/4/2015 - Canada CFTC Exclusive Remedy Executive Compensation Form D Filing Forum Selection Clause Major Swap Participants NASAA Pay-for-Performance SEC Swap Dealers

Corporate & Financial Weekly Digest - Volume X, Issue 16

In this issue: - SEC Committee to Focus on the Order Protection Rule at Upcoming Meeting - CFTC Issues No-Action Relief to SEFs and DCMs in Connection with Swaps with Operational or Clerical Errors - CFTC...more

4/27/2015 - CFTC DCMs ESMA Financial Markets High Frequency Trading SEC Securities SEFs Virtual Currency Whistleblower Awards

Corporate & Financial Weekly Digest - Volume X, Issue 13

In This Issue: - CFTC Extends Portfolio Margining on ICE Clear Europe - CFTC Extends CCO Report Filing Deadline - CFTC Issues Relief to Swap Dealers Regarding Legacy SPV Swaps - CME Updates Order...more

4/6/2015 - Annual Reports CFTC Chief Compliance Officers Class Action CME DSIO ESMA FCMs Filing Deadlines KBR (formerly Kellogg Brown & Root) Major Swap Participants Order Routing SEC SPVs Whistleblowers

Corporate & Financial Weekly Digest - Volume X, Issue 12

In this issue: - SEC Adopts Final Rules for Regulation A+ Offerings - FINRA Issues Notice on New Rules and Amendments Relating to Transaction-Based Compensation, Membership and Sanctions - FINRA Issues...more

3/30/2015 - AIFMD Algorithmic Trading CFTC Final Rules FINRA New Guidance Pharmaceutical Manufacturers Regulation A Regulation SHO SEC Securities Fraud Supervision

Corporate and Financial Weekly Digest - Volume X, Issue 10

In This Issue: - NYSE Amends "Late Filer Rule" - CFTC Responds to District Court's Remand Order on Certain Cross-Border Swaps Rules - Delaware Chancery Court Addresses Proper Purpose for Inspection...more

3/16/2015 - CFTC Cross-Border Transactions Enforcement Enforcement Actions ESMA EU Inspection Rights Late Filer Rule MiFID II NYSE SEC Swaps Whistleblowers

Corporate and Financial Weekly Digest - Volume X, Issue 9

In this issue: - Meeting of the SEC Advisory Committee on Small and Emerging Companies - Financial Action Task Force Publishes Updated List of Deficient Jurisdictions - CFTC to Host Roundtable on...more

3/9/2015 - CFTC Cybersecurity Destruction of Evidence EU FATF Foreign Banks Jurisdiction Risk Alert Sarbanes-Oxley SCOTUS SEC Small Business Volcker Rule

Corporate and Financial Weekly Digest - Volume X, Issue 8

In this issue: - CBOE Proposes to Offer Extended Trading Hours for SPX and VIX Options - CFTC Staff to Host Public Roundtable on Recovery and Orderly Wind-Down of DCOs - CFTC Reopens Comment Period for...more

3/2/2015 - Administrative Hearings CBOE CFTC ESMA Joint Venture Memorandum of Understanding SEC

Corporate and Financial Weekly Digest - Volume IX, Issue 48

In this issue: - Recent Developments Relating to Rights to Exclude Shareholder Proposals from Proxy Statements - SEC Approves MSRB Best Execution Rule - SEC Sanctions Operator of Unregistered Virtual...more

12/15/2014 - Banks Basel Committee Bitcoins Currency Exchange Cybersecurity ESMA EU FCA Insider Trading Investors MiFID MSRB Proxy Season Proxy Statements SEC Shareholder Proposals Shareholders Virtual Currency

Corporate and Financial Weekly Digest - Volume IX, Issue 47

In this issue: - SEC Sets October 2015 Target Date for Certain Dodd-Frank and JOBS Act Rulemaking - FINRA Issues Notice on TRACE Trade Reporting Obligations - NFA Issues Guidance on Exempt and Excluded...more

12/8/2014 - AIFM Bank Secrecy Act Banks Bitcoins BitLicense C-Suite Executives CPOs CTA Dodd-Frank Enforcement Actions EU EU Data Protection Laws False Statements FFIEC FINRA Investment Funds JOBS Act NFA OCC Proposed Amendments Regulatory Standards Rulemaking Process SEC TRACE Whistleblower Awards

Corporate and Financial Weekly Digest - Volume IX, Issue 46

In this issue: - US Court of Appeals for the District of Columbia Circuit Grants Petition for Rehearing of Decision on Conflicts Minerals Rule - Register for Our 2015 Proxy Season Update Webinar - SEC...more

11/24/2014 - Amnesty International Appeals CFTC Conflict Mineral Rules Crowdfunding Disclosure Requirements EU European Commission False Claims Act FinCEN FINRA Fixed Income Investments Forward Contract Exclusion Forward Contracts MSRB Proxy Season Proxy Voting Guidelines SEC Swap Dealers

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

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