Ross Pazzol

Ross Pazzol

Katten Muchin Rosenman LLP

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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

Corporate and Financial Weekly Digest - Volume XI, Issue 3

SEC/CORPORATE - SEC Settles With Adviser That Allegedly Overcharged Management Fees and Misled Investors - On January 19, the Securities and Exchange Commission announced that it had settled with Equinox Fund...more

1/25/2016 - EU Fixing America’s Surface Transportation Act (FAST Act) Hart-Scott-Rodino Act Management Fees No-Action Relief REMIT Swaps

2016 Examination Priorities Announced By SEC

On January 11, the Securities and Exchange Commission released the Office of Compliance Inspections and Examinations’ (OCIE) 2016 examination priorities, which seek to address: (1) the protection of retail investors,...more

1/19/2016 - Cybersecurity ETFs Investment Adviser Market Manipulation SEC Examination Priorities

Corporate and Financial Weekly Digest - Volume XI, Issue 2

BROKER-DEALER - 2016 Examination Priorities Announced By SEC - On January 11, the Securities and Exchange Commission released the Office of Compliance Inspections and Examinations’ (OCIE) 2016 examination...more

1/18/2016 - CFTC Cybersecurity Derivatives ETFs EU European Banking Authority Financial Conduct Authority (FCA) Investment Funds MiFID II SEC Examination Priorities Swap Clearing UK

Research Note: Equity Market Volatility on August 24, 2015

On December 29, 2015, the staff of the Securities and Exchange Commission’s Office of Analytics and Research Division of Trading and Markets published a research note (Research Note) on the unusual price volatility that the...more

1/12/2016 - Broker-Dealer Equity Markets Exchange-Traded Products Futures SEC

FINRA’s 2016 Regulatory and Examination Priorities

On January 5, the Financial Industry Regulatory Authority released its Regulatory Examination Priorities Letter, which identified its three main areas of focus for the year: (1) Culture, Conflicts of Interest and Ethics; (2)...more

1/12/2016 - Conflicts of Interest Examination Priorities FINRA Internal Controls Risk Management Supervision

Revised Pay-to-Play Rules

The Securities and Exchange Commission is seeking comments on a revised proposal recently filed by the Financial Industry Regulatory Authority to establish “pay-to-play” and related rules regulating the activities of FINRA...more

1/12/2016 - Broker-Dealer Comment Period Pay-To-Play Proposed Regulation SEC

Notice of Filing of a Proposed Rule Change To Adopt the Capital Acquisition Broker Rules

The Securities and Exchange Commission is seeking comments on a Financial Industry Regulatory Authority proposal to create a set of rules for FINRA member firms that meet the definition of “capital acquisition broker” (CAB)...more

1/12/2016 - Comment Period FINRA M&A Brokers Proposed Regulation SEC

Corporate and Financial Weekly Digest - Volume XI, Issue 1

SEC/CORPORATE - PCAOB Adopts New Rules Requiring Disclosure of Participants in an Audit - On December 15, 2015, the Public Company Accounting Oversight Board (PCAOB) adopted new rules and related amendments to...more

1/11/2016 - Banking Sector C&DIs Examination Priorities Fixing America’s Surface Transportation Act (FAST Act) M&A Brokers Pay-To-Play PCAOB Regulation Technical Standards (RTS) SEC

CFTC Adopts Final Margin Rules for Swap Dealers

On December 16, the Commodity Futures Trading Commission adopted final rules that set margin requirements for swap dealers and major participants (collectively, Swap Entities) regulated by the CFTC with respect to swaps that...more

12/22/2015 - CFTC Final Rules Major Swap Participants Margin Requirements NFA Swap Dealers

Corporate and Financial Weekly Digest - Volume X, Issue 48

SEC/CORPORATE SEC Division of Corporation Finance Issues New C&DIs on FAST Act - As previously reported, President Obama signed into law the Fixing America’s Surface Transportation Act (FAST Act) on December 4. The...more

12/21/2015 - C&DIs CFTC Cybersecurity Disclosure Requirements EGRPRA Extractive Industry Transparency Rule Fixing America’s Surface Transportation Act (FAST Act) Margin Requirements MiFID II SEC

NFA Issues Notice on the Inclusion of Legal Entity Identifiers in the Swap Dealer/Major Swap

The National Futures Association (NFA) has issued Notice I-15-28, which discusses the legal entity identifiers (LEIs) that are now being used in the NFA’s swap dealer/major swap participant registry (SD/MSP Registry). The...more

12/16/2015 - Legal Entity Identifiers Major Swap Participants National Futures Association NFA Swap Dealers

Corporate and Financial Weekly Digest - Volume X, Issue 47

SEC/CORPORATE - FAST Act Legislation and Impact on Securities Law - On December 4, President Obama signed into law the Fixing America’s Surface Transportation Act (FAST Act). This transportation bill includes...more

12/14/2015 - AIFMD CFTC Cybersecurity Disclosure Requirements Emerging Growth Companies ESMA EU FINRA Fixing America’s Surface Transportation Act (FAST Act) SEC

Questions and Answers Concerning the Final Prudential Regulator Margin Rules for Non-Cleared Swaps

BACKGROUND - The five US prudential regulators for swaps (the Federal Deposit Insurance Corporation, the Board of Governors of the Federal Reserve, the Comptroller of the Currency, the Farm Credit Administration and the...more

12/9/2015 - Covered Swap Entities (CSE) Financial Markets Margin Requirements Non-Cleared Swaps Swap Dealers

SEC Approves Changes To Reduce the Waiting Period for the Release of Information Reported on Form U5 Through BrokerCheck

Effective as of December 12, the Securities and Exchange Commission has approved a change to Financial Industry Regulatory Authority Rule 8312 (FINRA BrokerCheck Disclosure) to reduce the waiting period from 15 to three...more

12/8/2015 - BrokerCheck FINRA SEC Waiting Periods

FINRA Issues Guidance on Best Execution Obligations in Equity, Options and Fixed Income Markets

In light of the increasing use of automated markets for equity securities and standardized options, and recent advances in trading technology and communications in the fixed income markets, the Financial Industry Regulatory...more

12/8/2015 - FINRA Fixed Income Investments New Guidance Stock Options

NFA Releases Guidance for Those Operating Under an Exemption or Exclusion From CPO or CTA Registration

On December 1, the National Futures Association (NFA) released guidance pertaining to the annual affirmation requirement for persons or entities that claim an exemption or exclusion from commodity pool operator (CPO)...more

12/8/2015 - CPOs CTA Exemptions New Guidance NFA Registration Requirement

No-Action Relief Granted to Foreign Branch of US Swap Dealer for Transaction-Level Requirements

In a recently released no-action letter, the Commodity Futures Trading Commission indicated it would not seek enforcement action against a US swap dealer and its counterparties where a foreign branch of the US swap dealer...more

12/8/2015 - CFTC Enforcement Actions No-Action Letters Swap Dealers Wells Fargo

Corporate and Financial Weekly Digest - Volume X, Issue 46

SEC/CORPORATE - Proxy Advisory Firms Release Policy Updates for 2016 - Institutional Shareholder Services (ISS) and Glass Lewis, two leading proxy advisory firms, recently published their 2016 proxy voting...more

12/7/2015 - Banking Sector Broker-Dealer CFTC EU FINRA MiFID II OCC Overboarding Proxy Voting Guidelines SEC Shareholder Proposals Waiting Periods

FINRA Issues Notice on the Mandatory Participation of Member Firms in FINRA’s BC/DR Testing

The Financial Industry Regulatory Authority released Regulatory Notice 15-43 to alert member firms of its authority to designate certain member firms as mandatory participants in FINRA’s business continuity/disaster recovery...more

11/17/2015 - Broker-Dealer Business Continuity Plans FINRA

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