Tanja Samardzija

Tanja Samardzija

Katten Muchin Rosenman LLP

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FINRA Discusses Suitability Rule Examination Findings

The Financial Industry Regulatory Authority, Inc. has released a Regulatory Notice regarding Rule 2111 (Suitability). Regulatory Notice 13-31 does not create or alter existing guidance and interpretations with respect to the...more

10/16/2013 - FINRA Suitability Rule

SEC Re-opens Comment Period for Amendments to Regulation D, Form D and Rule 156

As reported in the Corporate & Financial Weekly Digest of July 12, 2013, we summarized proposed amendments to Regulation D, Form D and Rule 156...more

10/15/2013 - Regulation D Rule 156 SEC

Federal Agencies Seek Comment on Joint Proposed Rule Regarding Credit Risk Retention

In 2011, the Board of Governors of the Federal Reserve System, the Department of Housing and Urban Development, the Federal Deposit Insurance Corporation, the Federal Housing Finance Agency, the Office of the Comptroller of...more

9/17/2013 - Dodd-Frank FDIC Federal Reserve FHDA HUD OCC Risk Retention SEC Securities

SEC, CFTC and FINRA Issue Joint Advisory on Business Continuity and Disaster Recovery Planning

On August 16, 2013, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations, the Financial Industry Regulatory Authority and the Commodity Futures Trading Commission’s Division of Swap...more

8/27/2013 - CFTC Continuity of Enterprises Disaster Aid FINRA Hurricane Sandy SEC

SEC Approves Amendments to FINRA Rule Regarding Release of Disciplinary Complaints, Decisions and Other Information

The Corporate and Financial Weekly Digest edition of March 29, 2013 summarized the Financial Industry Regulatory Authority’s proposed rule change to amend Rule 8313, which governs the release of disciplinary and other...more

8/27/2013 - Disciplinary Proceedings FINRA New Regulations SEC

FINRA Updates Private Placement Form and Issues FAQ

The Financial Industry Regulatory Authority updated the Private Placement Form that firms must use to file offering documents and information pursuant to FINRA Rules 5123 (Private Placements of Securities) and 5122 (Private...more

8/27/2013 - FINRA Private Placements

FINRA Issues FAQs Regarding TRACE Reporting

The Financial Industry Regulatory Authority has issued a trade reporting notice that addresses several issues in connection with reporting transactions to the Trade Reporting and Compliance Engine (TRACE) system involving...more

8/13/2013 - Compliance FINRA New Regulations Reporting Requirements Securities Act of 1933

FINRA Announces Targeted Examination Letter Regarding High-Frequency Trading

The Financial Industry Regulatory Authority (FINRA) announced the issuance of a targeted examination letter in connection with high-frequency trading...more

7/23/2013 - FINRA High Frequency Trading

SEC Extends Interim Final Temporary Rule for Broker-Dealers Engaging in a Retail Forex Business

As reported in Corporate & Financial Weekly Digest edition of July 15, 2011, the Securities and Exchange Commission adopted interim final temporary Rule 15b12-1T to allow a registered broker-dealer to engage in a retail forex...more

7/23/2013 - Broker-Dealer Deadlines Final Rules Foreign Exchanges

Portfolio Reconciliation and Swap Trading Relationship Documentation Requirements for SDs and MSPs

Provisionally registered swap dealers (SDs) and major swap participants (MSPs) are required by the National Futures Association (NFA) to submit portfolio reconciliation and swap trading relationship documentation policies and...more

7/2/2013 - CFTC Compliance Investment Portfolios Major Swap Participants NFA Required Documentation Swap Dealers Swaps

CFTC Issues No-Action Letters

The Commodity Futures Trading Commission released a series of staff letters relating to various issues arising under rules implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act, including portfolio...more

7/2/2013 - CFTC Chief Compliance Officers Dodd-Frank Major Swap Participants Swap Dealers Wall Street

SEC Approves FINRA Rule Change That Requires Reporting OTC Equity Transactions Within 10 Seconds

The Securities and Exchange Commission has approved a proposed rule change by the Financial Industry Regulatory Authority requiring that transactions and transaction cancellations in over-the-counter (OTC) equity securities...more

6/4/2013 - Final Rules FINRA OTC Reporting Requirements SEC

FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements

The Securities and Exchange Commission recently extended the compliance date for the broker-dealer recordkeeping, reporting and monitoring requirements of the Large Trader Reporting Rule from May 1, 2013 to November 1,...more

4/24/2013 - Effective Filing Date Electronic Blue Sheets Extensions FINRA SEC

Proposed Change to FINRA Rule Regarding Release of Disciplinary Complaints, Decisions and Other Information

The Financial Industry Regulatory Authority filed a proposed rule change to amend Rule 8313, which governs the release of disciplinary and other information by FINRA to the public. Among other things, amended Rule 8313 would...more

4/2/2013 - Disciplinary Proceedings FINRA Public Disclosure SEC

NASDAQ Files to Change Order Processing Algorithm, Permit Registration of Market Makers and Amend Order Types on PSX

In 2010, NASDAQ OMX PHLX LLC (PHLX) launched NASDAQ OMX PSX (PSX) as a platform for trading NMS stocks using a price/size execution model. Now PHLX has filed a proposed rule change to adopt a price/time model for PSX. PHLX is...more

4/2/2013 - Nasdaq PHLX PSX SEC

SEC Issues FAQs Regarding Rule 15a-6 and Foreign Broker-Dealers

Pursuant to Securities and Exchange Commission Rule 15a-6 adopted under the Securities Exchange Act of 1934, certain exemptions from broker-dealer registration are available for foreign broker-dealers that engage in limited...more

4/2/2013 - Broker-Dealer Foreign Investment Investors SEC Securities Exchange Act

FINRA Proposed Rule Change to Extend Temporary Limit on Application of FINRA Rules to Security-Based Swaps

On July 1, 2011, the Securities and Exchange Commission granted temporary exemptions under the Securities Exchange Act of 1934 in connection with the pending revision of the definition of “security” to encompass...more

4/2/2013 - FINRA SEC Security-Based Swaps

SEC Approves on an Accelerated Basis FINRA Rule Change Relating to Margin Requirements for Credit Default Swaps

The Securities and Exchange Commission has approved a Financial Industry Regulatory Authority proposed change to amend FINRA Rule 4240, which implements an interim pilot program with respect to margin requirements related to...more

4/2/2013 - Credit Default Swaps FINRA Margin Requirements SEC

Court Rules FERC Does Not Have Authority to Fine Trader for Manipulation of Futures Contracts

Pursuant to the Energy Policy Act of 2005, the Federal Energy Regulatory Commission (FERC) fined a natural gas trader $30 million for manipulating the settlement price for natural gas futures contracts on the New York...more

3/26/2013 - CFTC FERC Futures Natural Gas

CFTC Grants Relief from Required Clearing for Swaps Resulting from Multilateral Portfolio Compression

On March 18, the Commodity Futures Trading Commission’s Division of Clearing and Risk granted no-action relief relating to the clearing requirement for swaps resulting from multilateral portfolio compression exercises (as...more

3/26/2013 - CFTC Mandatory Clearing Requirements No-Action Relief Portfolio Compression Swaps

CFTC Grants Relief from Required Clearing for Partial Novation and Partial Termination of Swaps

On March 20, the Commodity Future Trading Commission’s Division of Clearing and Risk granted no-action relief from the clearing requirement for “stub” swaps that result when two counterparties agree to reduce the notional...more

3/26/2013 - CFTC Mandatory Clearing Requirements No-Action Relief Novation Stub Swaps Termination

CFTC Approves CME Swap Data Reporting Rule

On March 6, the Commodity Futures Trading Commission approved the Chicago Mercantile Exchange Inc.’s (CME) request to adopt CME Rule 1001. CME Rule 1001 addresses the CME’s obligation, in its capacity as a derivatives...more

3/13/2013 - CFTC CME Derivatives Clearing Organizations Reporting Requirements Swap Data Repositories Swaps

SEC 2013 Examination Priorities

The Securities and Exchange Commission’s National Examination Program (NEP) published its examination priorities for 2013. The examination priorities address market-wide issues as well as issues with respect to the following...more

3/6/2013 - Conflicts of Interest Data Protection Fraud NEP Risk Management SEC

FINRA Offers Changes to Proposed Rules Governing Markups, Commissions and Fees

In February 2011, the Financial Industry Regulatory Authority initially sought comment on proposed rules governing markups, commissions and fees...more

2/19/2013 - Broker Commissions Fees FINRA Markups

FINRA Proposes Rule Change that Would Require Reporting OTC Equity Transactions Within 10 Seconds

The Financial Industry Regulatory Authority has filed a proposed rule change requiring trades and trade cancellations in over-the counter (OTC) transactions in National Market System stocks and OTC equity securities (as...more

2/19/2013 - Equity Transactions FINRA OTC Reporting Requirements

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