Katten Muchin Rosenman LLP

Bridging the Week - August 2015 #5

Charles Schwab Fined US $2 Million by FINRA for Net Capital Deficiencies: Charles Schwab & Co. agreed to pay US $2 million to the Financial Industry Regulatory Authority to resolve allegations that it had net capital…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

SEC Issues Risk Alert on Broker-Dealer Controls Regarding Retail Sales of Structured Securities Products

On August 24, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations’ National Examination Program staff (Staff) released a Risk Alert summarizing findings from an examination of 10…more
| Finance & Banking, Securities Law

SEC Decreases Registration Statement Filing Fees for Fiscal Year 2016

On August 27, the Securities and Exchange Commission announced that, effective October 1, the fees that public companies and other issuers pay to register their securities with the SEC will decrease from $116.20 per million…more
| Business Organizations, Commercial Law & Contracts, Securities Law

FinCEN Proposes New Anti-Money Laundering Rules for Investment Advisers

On August 25, 2015, the Financial Crimes Enforcement Network (FinCEN), a bureau of the US Department of the Treasury, released proposed rules that would extend anti-money laundering (AML) requirements to investment advisers that…more
| Finance & Banking, Securities Law

The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt a Kill Switch for NOM

On August 20, NASDAQ filed a proposed rule change with the Securities and Exchange Commission, which seeks to amend Chapter VI, Section 6, entitled “Acceptance of Quotes and Orders,” of the rules governing the NASDAQ Options…more
| Securities Law

Corporate and Financial Weekly Digest - Volume X, Issue 33

SEC/CORPORATE - SEC Decreases Registration Statement Filing Fees for Fiscal Year 2016 - On August 27, the Securities and Exchange Commission announced that, effective October 1, the fees that public companies and…more
| Business Organizations, Commercial Law & Contracts, Finance & Banking, Securities Law

ESMA Recommends Changes to EMIR

Under Article 85(1) of the European Market Infrastructure Regulation (648/2012/EU) (EMIR), the European Commission (EC) is required to submit a general report on EMIR to the European Parliament and the European Council on the…more
| Securities Law

New FCA Handbook and PRA Rulebook Websites to Launch Next Week

On August 17, the UK Financial Conduct Authority (FCA) announced on the front page of its online rulebook, which currently also includes the rules of the Prudential Regulation Authority (PRA) and guidance from both Authorities,…more
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US Court of Appeals for the District of Columbia Circuit Upholds Decision on Conflict Minerals Rule

On August 18, the US Court of Appeals for the District of Columbia Circuit issued its opinion on the rehearing of the lawsuit challenging the Securities and Exchange Commission’s conflict minerals rule. The ruling upheld the…more
| Constitutional Law, Securities Law

CFTC Issues Order of Exemption From Registration as a DCO to ASX Clear (Futures) Pty Limited and Requests Public Comment on a Petition by Korea Exchange, Inc. for Exemption From DCO Registration

The Commodity Futures Trading Commission has issued an order of exemption from registration as a derivatives clearing organization (DCO) to ASX Clear (Futures) Pty Limited (ASX). This is the first order that the CFTC has…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

CFTC Proposes Cleared Swap Reporting Amendments

The Commodity Futures Trading Commission has proposed to amend Part 45 of its regulations insofar as they relate to the reporting to a swaps data repository of swaps that are cleared by a derivatives clearing organization (DCO)…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

Bridging the Week - August 2015 #4

CME Group Files Disciplinary Actions for Trading Ahead of Block Trades and Failure to Supervise an Employee Engaging in Disruptive Trading Activities - In two cases of first impression, CME Group exchanges brought and…more
| Commercial Law & Contracts, Finance & Banking, Labor & Employment Law, Securities Law

Corporate and Financial Weekly Digest - Volume X, Issue 32

In this issue: - US Court of Appeals for the District of Columbia Circuit Upholds Decision on Conflict Minerals Rule - CFTC Issues Order of Exemption From Registration as a DCO to ASX Clear (Futures) Pty Limited and…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

The Surface Transportation and Veterans Health Care Choice Improvement Act of 2015: Important Changes Affecting Tax Filings for Individuals and for Trusts and Estates

On July 31, 2015, President Obama signed into law the Surface Transportation and Veterans Health Care Choice Improvement Act of 2015 (the "Act"), which revised a number of different federal tax laws relevant to individuals,…more
| Taxation, Wills, Trusts, & Estate Planning

EU Securities Financing Transactions Regulation––Shining a Light on Shadow Banking

On June 29, the Council of the European Union announced that its Permanent Representatives Committee (Coreper) approved a final compromise text of the proposed regulation on reporting and transparency of securities financing…more
| Business Organizations, Commercial Law & Contracts, Finance & Banking, Securities Law
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525 West Monroe Street
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Contact: Vincent A. F. Sergi, National Managing Partner

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