Katten Muchin Rosenman LLP

SEC Staff Clarifies Regulation SHO FAQ 2.5(B) on Order Marking

As reported in the March 20 edition of the Corporate & Financial Weekly Digest, the staff of the Securities and Exchange Commission’s Division of Trading and Markets (Staff) issued new frequently asked questions (FAQs) relating…more
| Administrative Law, Commercial Law & Contracts, Securities Law

SEC Proposes to Amend Rule 15b9-1

The Securities and Exchange Commission is proposing to amend Rule 15b9-1 under the Securities Exchange Act of 1934, as amended, to require broker-dealers that engage in off-exchange proprietary trading to become members of a…more
| Administrative Law, Commercial Law & Contracts, Finance & Banking, Securities Law

CFTC Issues Advisory on Ownership and Control Reporting

The Division of Market Oversight (DMO) and Division of Swap Dealer and Intermediary Oversight (DSIO) of the Commodity Futures Trading Commission have issued an advisory on ownership and control reporting (OCR) for futures…more
| Commercial Law & Contracts, Finance & Banking, International Law & Trade, Securities Law

Department of Interior Releases Revised Rules on Hydraulic Fracturing on Federal and Indian Lands

A final rule that seeks to address perceived risks associated with hydraulic fracturing was published by the Department of Interior (DOI) in the Federal Register on March 26, 2015. The rule revises existing Bureau of Land…more
| Administrative Law, Energy & Utilities, Environmental Law, Indigenous Peoples, Zoning, Planning & Land Use

FINRA Issues Guidance on Effective Supervision for Firms Engaging in Algorithmic Trading Strategies

The Financial Industry Regulatory Authority released Regulatory Notice 15-09 to provide guidance to member firms and market participants on effective supervision and control practices with respect to algorithmic trading…more
| Commercial Law & Contracts, Finance & Banking, Science, Computers, & Technology, Securities Law

SEC Adopts Final Rules for Regulation A+ Offerings

On March 25, the Securities and Exchange Commission adopted final rules that will expand the exemption from registration under the Securities Act of 1933 provided by Regulation A to include an exemption for up to $50 million of…more
| Administrative Law, Business Organizations, Securities Law

Bridging the Week - March 2015 #5

SEC Proposes FINRA Oversee Certain High-Frequency Trading Firms; FINRA and FIA Issue Best Practice Guidance - The Securities and Exchange Commission proposed changes to an existing rule that, if adopted, would require…more
| Agriculture, Commercial Law & Contracts, Finance & Banking, International Law & Trade, Securities Law

FINRA Issues Notice on New Rules and Amendments Relating to Transaction-Based Compensation, Membership and Sanctions

The Financial Industry Regulatory Authority released Regulatory Notice 15-07 to alert member firms of the new consolidated rules regarding payments to unregistered persons and membership. The notice also alerts member firms of…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

Corporate & Financial Weekly Digest - Volume X, Issue 12

In this issue: - SEC Adopts Final Rules for Regulation A+ Offerings - FINRA Issues Notice on New Rules and Amendments Relating to Transaction-Based Compensation, Membership and Sanctions - FINRA Issues…more
| Commercial Law & Contracts, Finance & Banking, International Law & Trade, Science, Computers, & Technology, Securities Law

FINRA Seeks Comment on Proposal Requiring Registration of Associated Persons Who Develop Algorithmic Trading Strategies

Introduction - As part of its ongoing market structure initiatives related to, among other things, automated trading activities, the Financial Industry Regulatory Authority (FINRA) has issued a proposal that would require…more
| Commercial Law & Contracts, Finance & Banking, Science, Computers, & Technology, Securities Law

Delaware Court of Chancery Restricts Board’s Ability to Subject Former Shareholders to New Bylaws

The Delaware Court of Chancery recently held, in a case of first impression, that a non-reciprocal fee-shifting bylaw cannot be applied to a claim brought by a former shareholder who had been cashed out of the company before the…more
| Business Organizations, Civil Procedure, Commercial Law & Contracts

UK Regulator Announces Its Approach to Financial Promotions in Social Media

On March 13, the UK regulator, the Financial Conduct Authority (FCA) published finalized guidance on its supervisory approach to financial promotions in social media (the “Guidance”). The range of social media within the FCA’s…more
| Administrative Law, Communications & Media Law, Finance & Banking, Consumer Protection, International Law & Trade

Global Regulators Push Back Margin Requirements for Non-cleared Derivatives

On March 18, the Basel Committee on Banking Supervision and the International Organization of Securities Commissions (IOSCO) published a “final” policy framework that establishes minimum global standards for margin requirements…more
| Commercial Law & Contracts, Finance & Banking, International Law & Trade, Securities Law

Due Date for FATCA Reporting of US Accounts Is Approaching

The deadline to report US accounts by offshore funds that are organized in Model 2 Intergovernmental Agreement (IGA) jurisdictions, such as Bermuda, as required by Foreign Account Tax Compliance Act (FATCA), is quickly…more
| Commercial Law & Contracts, Finance & Banking, International Law & Trade, Taxation

District Court Dismisses Data Breach Case for Lack of Standing

The US District Court for the Middle District of Pennsylvania recently dismissed a consolidated class action against Paytime, Inc. arising out of a data breach by hackers who accessed the personal and financial information of…more
| Civil Procedure, Constitutional Law, Finance & Banking, Privacy, Science, Computers, & Technology
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525 West Monroe Street
Chicago, Illinois 60661-3693, United States

Contact: Vincent A. F. Sergi, National Managing Partner

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