Corporate and Financial Weekly Digest - September 20, 2013


In this issue:

- SEC Proposes Rule Regarding Disclosure of CEO-to-Worker Pay Ratio

- SEC Issues Risk Alert on Short Selling in Connection with a Public Offering

- CFTC Seeks Comments on Amended EFRP Rule

- NFA Commences New Filing Requirement for Commodity Trading Advisors

- Second Circuit Affirms Judgment that SLUSA Precludes Madoff-Related Claims

- Sixth Circuit Rejects Claim Preclusion Where Fraudulent Conduct Concealed in a Prior Action

- Excerpt from: NFA Commences New Filing Requirement for Commodity Trading Advisors:

On September 16, the National Futures Association (NFA) issued a notice to inform its members that NFA’s new quarterly reporting requirement for commodity trading advisor (CTA) member firms pursuant to NFA Compliance Rule 2-46 is effective for the quarter ending September 30, 2013. The initial reports will be due on November 14, 2013. These quarterly reports, known as NFA Form PR, consist of the Commodity Futures Trading Commission’s Form CTA-PR together with additional information relating to trading programs offered by the CTA, related monthly rates of return and assets under management for those trading programs. All NFA member CTAs must submit Form PR each quarter, regardless of whether they are currently active.

Please see full newsletter below for more information.

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DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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