Ross Pazzol

Ross Pazzol

Katten Muchin Rosenman LLP

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The SEC Approves a FINRA Rule Amendment Requiring Registration of Associated Persons Who Design or Develop Algorithmic Trading...

On April 7, the Securities and Exchange Commission (SEC) approved amendments to NASD Rule 1032(f) which will require registration as Securities Traders of associated persons who are primarily responsible for the design,...more

4/15/2016 - Algorithmic Trading Associated Persons FINRA NASD Registration Requirement SEC

Corporate and Financial Weekly Digest - Volume XI, Issue 14

BROKER-DEALER - SEC Approves FINRA’s Proposed Expansion of Supplement Schedule for Derivatives and Off-Balance Sheet Items - On April 5, the Financial Industry Regulatory Authority released Regulatory Notice 16-11...more

4/11/2016 - CFTC Corporate Governance EU Exchange-Traded Products FDIC Filing Requirements FINRA Guidance Update MiFIR Natural Gas Remuneration Swaps UCITS V

Corporate and Financial Weekly Digest - Volume XI, Issue 13

BROKER-DEALER - FINRA Proposes Amendment to Transactions in Exchange-Traded Managed Fund Shares Rule - On March 29, the Financial Industry Regulatory Authority filed with the Securities and Exchange Commission a...more

4/4/2016 - Derivatives ESMA EU EU Market Abuse Regulation (EU MAR) Exchange-Traded Products FINRA

Corporate and Financial Weekly Digest - Volume XI, Issue 12

SEC/CORPORATE - SEC Issues No-Action Relief Pursuant to Rule 14a-8(i)(9) - As previously reported in the Corporate and Financial Weekly Digest edition of October 30, 2015, the Securities and Exchange Commission's...more

3/28/2016 - CD&I Federal Reserve No-Action Relief Prepaid Payment Products Rule 14a-8 Shareholder Proposals White Paper

European Commission Adopts Equivalence Decision in Regards to US CFTC-Registered CCPs

On March 15, the European Commission (the Commission) adopted an equivalence decision in regards to US central counterparties (CCPs). The equivalence decision will allow CCPs authorized and registered with the Commodity...more

3/23/2016 - Central Counterparties CFTC EMIR Equivalency Determinations EU European Commission No-Action Relief

CFTC Approves Final Rule Eliminating Certain Reporting and Recordkeeping Requirements for Trade Option End-Users

On March 16, the Commodity Futures Trading Commission unanimously approved a final rule removing reporting and recordkeeping requirements for trade option counterparties that are neither swap dealers nor major swap...more

3/22/2016 - CFTC Final Rules Major Swap Participants Recordkeeping Requirements Swap Dealers

Corporate and Financial Weekly Digest - Volume XI, Issue 11

CFTC - CFTC Approves Final Rule Eliminating Certain Reporting and Recordkeeping Requirements for Trade Option End-Users - On March 16, the Commodity Futures Trading Commission unanimously approved a final rule...more

3/21/2016 - CFTC Derivatives Clearing Organizations EU Final Rules Market Abuse No-Action Relief Recordkeeping Requirements Risk Mitigation SEFs

SEC Announces Creation of Office of Risk and Strategy

On March 8, the Securities and Exchange Commission announced the creation of the Office of Risk and Strategy (ORS) within the SEC’s Office of Compliance Inspections and Examinations (OCIE)....more

3/15/2016 - Administrative Boards OCIE Registered Investment Advisors SEC SEC Examination Priorities

Corporate and Financial Weekly Digest - Volume XI, Issue 10

BROKER-DEALER - SEC Announces Creation of Office of Risk and Strategy - On March 8, the Securities and Exchange Commission announced the creation of the Office of Risk and Strategy (ORS) within the SEC’s Office of...more

3/14/2016 - Basel III EU Major Swap Participants Margin Requirements Person of Significant Control (PSC Register) Senior Managers Insurers Regime (SMIR) Swap Dealers UK

FINRA Requests Information Regarding Firm Culture and Values

The Financial Industry Regulatory Authority is requesting firms to submit information regarding their organizational culture and how those values impact business decisions. FINRA’s 2016 Regulatory and Examination Priorities...more

3/1/2016 - Broker-Dealer Corporate Culture FINRA

Corporate and Financial Weekly Digest - Volume XI, Issue 8

BROKER-DEALER - FINRA Requests Information Regarding Firm Culture and Values - The Financial Industry Regulatory Authority is requesting firms to submit information regarding their organizational culture and how...more

2/29/2016 - Banking Examinations Comptroller Corporate Culture Depository Institutions EU Examination Priorities ISDA MiFID II No-Action Letters Recordkeeping Requirements Security-Based Swaps Stress Tests UK

NFA’s Interpretive Notice on Information Systems Security Programs Becomes Effective on March 1

National Futures Association (NFA) has issued a reminder that its interpretive notice on information systems security programs becomes effective on March 1. The interpretive notice, which was discussed in detail in the...more

2/25/2016 - Information Systems Security Program (ISSP) NFA

Corporate and Financial Weekly Digest - Volume XI, Issue 7

SEC/CORPORATE - SEC Advisory Committee on Small and Emerging Companies to Discuss Capital Formation Landscape for Small and Emerging Companies - The Securities and Exchange Commission announced that its Advisory...more

2/22/2016 - Benchmarks Capital Formation Emerging Growth Companies EU NFA No-Action Letters No-Action Relief Rule 14a-8 Swaps UK

FINRA Files Proposed Rule Requiring Registration of Associated Persons Who Design or Develop Algorithmic Trading Strategies

The Financial Industry Regulatory Authority (FINRA) has filed with the Securities and Exchange Commission (SEC) a proposed rule change that would require the registration of associated persons of FINRA member firms who are...more

2/19/2016 - Algorithmic Trading FINRA NASD Proposed Regulation Registration Requirement

CFTC’s Energy and Environmental Markets Advisory Committee To Hold Public Meeting

The Commodity Futures Trading Commission’s Energy and Environmental Markets Advisory Committee (EEMAC) will hold a public meeting on February 25. Topics to be addressed are: (1) the EEMAC’s report detailing its 2015...more

2/17/2016 - CFTC Commodities Exchange Act Public Meetings Swap Dealers

Change to the No-Action Relief Regarding Definition of “Ready Market” With Regard to Foreign Equity Securities Pursuant to SEC...

On February 9, the Securities and Exchange Commission withdrew a no-action letter that was issued on November 28, 2012 (Old Letter), and issued a new one in its place (New Letter). The New Letter is identical to the Old...more

2/16/2016 - Foreign Issuers No-Action Letters SEC

European Commission and CFTC Announce Harmonized Approach to CCPs

On February 10, the Commodity Futures Trading Commission and the European Commission (EC) announced that they had reached an agreement on a harmonized approach to central clearing counterparties (CCPs). The agreement ensures...more

2/16/2016 - Central Counterparties CFTC EU European Commission Market Participants

FINRA Regulatory Notice Regarding Private Placements and Public Offerings Subject to a Contingency

The Financial Industry Regulatory Authority’s review of various securities offering documents revealed instances in which broker-dealers have not complied with Securities Exchange Act Rules 10b-9 and 15c2-4 requirements...more

2/16/2016 - Broker-Dealer FINRA Offering Documents Private Placements Public Offerings

CFTC Approves Derivative Clearing Organization Registration Order for Eurex Clearing AG

On February 1, the Commodity Futures Trading Commission issued an order granting Eurex Clearing AG registration as a derivatives clearing organization (DCO) under the Commodity Exchange Act (CEA). The order will allow Eurex...more

2/9/2016 - CFTC Derivatives Clearing Organizations FCMs MiFID II

Corporate and Financial Weekly Digest - Volume XI, Issue 5

SEC/CORPORATE - SEC Approves FINRA’s Funding Portal Rules - On January 22, the Securities and Exchange Commission approved the Financial Industry Regulatory Authority’s funding portal rules and related forms for...more

2/8/2016 - Crowdfunding Cybersecurity Deposit Insurance Derivatives Clearing Organizations Dodd-Frank ESMA Funding Portal Major Swap Participants MiFID II Pension Schemes

CFTC and German Regulators Sign Memorandum of Understanding

The Commodity Futures Trading Commission, German regulators Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin) and Deutsche Bundesbank (Bundesbank) have entered into a memorandum of understanding (MOU) related to the...more

2/3/2016 - CFTC Clearing Agencies Germany Memorandum of Understanding Supervision

CFTC Approves Registration to 18 Swap Execution Facilities

The Commodity Futures Trading Commission has issued orders granting permanent registration to 18 swap execution facilities (SEFs) that had been operating under temporary registration status. The SEFs approved for registration...more

2/2/2016 - CFTC Registration SEFs

No-Action Relief Allows Broker-Dealers and OTC Derivatives Dealers to Submit Certain Reports Electronically

On December 21, 2015, the Securities and Exchange Commission’s Division of Trading and Markets granted no-action relief that will allow broker-dealers and over-the-counter (OTC) derivatives dealers to submit their annual and...more

2/2/2016 - Broker-Dealer EDGAR Electronic Filing No-Action Relief SEC

Corporate and Financial Weekly Digest - Volume XI, Issue 4

SEC/CORPORATE - Crowdfunding Portals Can Now Register With the SEC - As discussed in the November 6, 2015 edition of the Corporate and Financial Weekly Digest, on October 30, 2015, the Securities and Exchange...more

2/1/2016 - Crowdfunding Cyber Attacks Electronic Filing Germany Hedge Funds Memorandum of Understanding Regulation C SEFs Senior Managers Insurers Regime (SMIR) Supervision UK

FINRA Issues Notice on the Application of the Mark-Up Rule to Exempted Government Securities Transactions

The Financial Industry Regulatory Authority released Regulatory Notice 16-03, which discusses the Securities and Exchange Commission’s approval of amendments to FINRA Rule 0150 (Application of Rules to Exempted Securities...more

1/26/2016 - FINRA Issuer Exemption SEC U.S. Treasury

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