Wesley Nissen

Wesley Nissen

DLA Piper

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The Financial Report - Volume 4, No. 21 - November 2015 (Global)

Discussion and Analysis On October 30, 2015, the Securities and Exchange Commission published its long-awaited rules under Title III of the Jumpstart Our Business Startups (JOBS) Act. According to the nearly 700-page...more

11/12/2015 - Asia Pacific Australia Canada Crowdfunding Enforcement Actions ETFs EU Financial Conduct Authority (FCA) JOBS Act Market Abuse Regulation Technical Standards (RTS) SEC Stress Tests Whistleblower Protection Policies

The Financial Report - Volume 14, No. 17 - September 2015 (US)

We all love to quote statistics when they tend to support whatever position we may be advocating. At the same time, however, we are often loath to take the time and effort to respond to surveys or provide information needed...more

9/11/2015 - Administrative Hearings Asia Pacific Australia Banking Sector BEA Board of Directors Capital Markets CFTC Corporate Officers EB-5 EMIR ESMA EU European Central Bank Financial Institutions Financial Markets FinCEN Fraud Futures ISDA MiFID II Money Services Business NFA Personal Liability Prudential Regulation Authority PSLRA SEC Supervision U.S. Treasury USCIS

The Financial Report - Volume 4, No. 12 • June 2015 (Global)

Discussion and Analysis - Golf fans were captivated by the US Open played at Chambers Bay, a public course overlooking Puget Sound in Washington state, which concluded on Sunday. The Wall Street Journal’s sports...more

7/3/2015 - Australia Banking Sector Capital Markets CFTC EU Financial Conduct Authority (FCA) Financial Markets OSC Peer-to-Peer Prudential Regulation Authority SEC U.S. Treasury

US Bureau of Economic Analysis mandatory filings: US persons that own foreign entities and US persons with foreign ownership

Update: Extended deadline for first-time filers of Form BE-10 - The Bureau of Economic Analysis (BEA) has extended the deadline from May 29, 2015 to June 30, 2015 for US reporters that are required to file the BE-10...more

6/19/2015 - BEA Filing Requirements Foreign Affiliates Foreign Direct Investment Form BE-10

SEC proposes substantial new reporting requirements for investment advisers on Form ADV: key points

The Securities and Exchange Commission has issued proposed rules (the Proposal) under the Investment Advisers Act of 1940, as amended, that would, among other things, expand the information collected on Form ADV, provide for...more

6/4/2015 - Affiliates Disclosure Requirements Form ADV Investment Adviser Investment Advisers Act of 1940 NPRM Recordkeeping Requirements Reporting Requirements SEC Separate Accounts Umbrella Registration

The Financial Report - Volume 4, No. 7 • April 2015 (Global)

Discussion and Analysis - Last week, the Securities and Exchange Commission proposed to amend SEC Rule 15b9-1 under the Securities Exchange Act of 1934, which exempts certain broker-dealers from membership in a...more

4/8/2015 - AIFMD Algorithmic Trading Anti-Money Laundering ASIC Broker-Dealer Capital Formation CCO CFTC Cross-Border EBA EMIR Enforcement Actions ESMA FCMs Financial Conduct Authority (FCA) FINRA Hong Kong IOSCO ISDA MiFID NFA OTC PRA Regulation A Resource Extraction Rule 15B9-1 SEC Securities Singapore Swaps UK

SEC proposes requiring FINRA membership for exchange-member-only broker-dealers

The Securities and Exchange Commission has published a proposal to amend SEC Rule 15b9-1 under the Securities Exchange Act of 1934, as amended, which exempts certain broker-dealers from membership in a registered national...more

4/2/2015 - Broker-Dealer Exemptions FINRA Hedging High Frequency Trading Rule 15B9-1 SEC Securities Exchange Act

The Financial Report - Volume 4, No. 5 • March 2015 (Global)

Discussion and Analysis - In “Conflicts, Conflicts Everywhere,” her speech at the recent IA Watch 17th Annual Compliance Conference, Julie M. Riewe, Co-Chief of the Securities and Exchange Commission Enforcement...more

3/6/2015 - Asia Pacific CFTC Conflicts of Interest ESMA Examination Priorities Financial Markets Hong Kong OCIE Regulatory Agenda SEC Securities Strategic Enforcement Plan

The Financial Report -Volume 4, No. 4 • February 2015 (Global)

US Judicial Developments - Receiver can be subject to arbitration. The court-appointed receiver for hedge funds used as part of a Ponzi scheme sued the scheme’s “net winners” in an effort to claw back their gains....more

2/24/2015 - Appeals Arbitration Australia Canada CFTC Clawbacks Clearing Agencies Corporate Governance Crowdfunding ESMA Financial Markets Oil & Gas Oil Prices Regulatory Agenda SEC Securities U.S. Treasury

The Financial Report - Volume 4, No. 3 • February 2015 (Global)

Discussion and Analysis - One of the most famous routines of the late great comedian George Carlin commented on the differences between baseball and football. He said, “Baseball is a nineteenth-century pastoral game....more

2/10/2015 - Asia Asia Pacific Banking Sector Banks Canada Canadian Securities Administration CFTC ESMA EU Federal Reserve Financial Markets Foreign Exchanges Foreign Markets Regulatory Agenda Regulatory Standards SEC Self-Regulatory Organizations Stock Exchange

The Financial Report - Volume 4, No. 2 • January 2015 (Global)

Discussion and Analysis - Last week, several of the world’s largest banks and brokerage firms lost hundreds of millions of dollars when the Swiss franc surged suddenly and surprisingly against the euro. It is eerily...more

1/27/2015 - Banking Sector Banks CFTC China Competition Act Cooperation Agreement Debentures Dodd-Frank ERISA EU Financial Institutions Financial Markets Foreign Currency Forex Hong Kong NFA Singapore UK

The Financial Report (Global) - Volume 4, No. 1 • January 2015

News from the Americas - Non-bank SIFI designated. The US Financial Stability Oversight Council designated MetLife Inc. as a systemically important non-bank financial institution. (12/19/2014) Treasury Department press...more

1/13/2015 - Banking Examinations CFTC EU FINRA FSOC MetLife Nonbank Firms SEC SIFIs U.S. Treasury

The Financial Report - Volume 3, No. 22 • December 11, 2014 (Global)

Discussion and Analysis - Earlier this week, The Wall Street Journal published a special Journal Report entitled “CEO Council.” The tag line for the report ominously states: “At the annual meeting of The Wall Street...more

12/14/2014 - EU Financial Markets Legislative Agendas Regulatory Agenda

The Financial Report - Volume 3, No. 21 • November 2014 (Global)

Criminal securities fraud charges filed against Bitcoin operator. US federal prosecutors filed the first criminal securities fraud charges involving a virtual currency. Trendon Shavers, who founded Bitcoin Savings and...more

11/18/2014 - Asia Pacific Bitcoin CFTC Criminal Prosecution Crowdfunding Election Results Enforcement Actions ESMA EU European Banking Authority High Frequency Trading Risk Retention SEC U.S. Treasury

The Financial Report - Volume 3, No. 20 • October 16, 2014 (Global)

Compliance template for Exchange Act Rule 17a-5(f)(2). The Financial Industry Regulatory Authority has made available a new template and guidance for members electronically filing the statement required by Securities...more

10/17/2014 - ASIC Banks Basel Committee Canadian Securities Administration CFTC ESMA European Banking Authority Federal Reserve Financial Conduct Authority (FCA) Financial Markets Hong Kong IOSCO Prudential Regulation Authority REITS SEC Singapore U.S. Treasury

The Financial Report - Volume 3, No. 19 • October 2014 (Global)

News from the Americas - Securities enforcement by state regulators. The US North American Securities Administrators Association published its annual enforcement survey. It noted a significant increase in the amount of...more

10/6/2014 - ASIC CFTC Compliance Dodd-Frank EMIR Enforcement Enforcement Actions ESMA EU Financial Regulatory Reform Fraud Insider Trading JOBS Act NASAA SEC Securities Fraud Securities Litigation UK

The Financial Report, Volume 3, Number 18 (Global)

Discussion and Analysis - Last Tuesday, the United States District Court for the District of Columbia mostly upheld the Commodity Futures Trading Commission’s authority to regulate cross-border derivatives trading. The...more

9/23/2014 - Banks CFTC Compliance Cross-Border Derivatives Dodd-Frank Financial Regulatory Reform ISDA SEC SIFMA Swaps

The Financial Report - Volume 3, No. 17 • September 2014 (Global)

Discussion and Analysis - The Securities and Exchange Commission currently is reevaluating the definition of what constitutes an “accredited investor,” the standard for determining who is...more


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