Katten Muchin Rosenman LLP

Bridging the Week - May 2016 #4

Two Related Broker-Dealers To Pay US $17 Million for Widespread AML Compliance Failures; Former AML Compliance Officer Also Sanctioned: Raymond James & Associates, Inc. (RJA), Raymond James Financial Services, Inc. (RJFS)…more
| Business Organizations, Securities Law

The Notice Provision of the Defend Trade Secrets Act (DTSA): What Employers Must Do Now

The Defend Trade Secrets Act (DTSA), which became effective on May 11, extends federal civil protection to trade secrets and allows companies and individuals to file private lawsuits to remedy a wrongful taking of their trade…more
| Intellectual Property, Labor & Employment Law

Corporate and Financial Weekly Digest - Volume XI, Issue 20

SEC/CORPORATE - SEC Division of Corporation Finance Issues 12 New and Revised C&DIs Regarding Non-GAAP Measures - As noted in the May 13 edition of Corporate and Financial Weekly Digest, SEC Chair Mary Joe White,…more
| Business Organizations, Finance & Banking, International Law & Trade, Securities Law

Bridging the Week - May 2016 #3

Controller of FCM Named in CFTC Complaint, Along with Firm, for Failure to Timely Notify Commission of Segregation Breach: Cunningham Commodities, LLC, a futures commission merchant registered with the Commodity Futures…more
| Business Organizations, Finance & Banking, International Law & Trade, Securities Law

CFPB Issues Proposed Rule to Restrict the Use of Mandatory Arbitration Clauses and Class Action Waivers

If implemented, the Proposed Rule will result in an increase in class action lawsuits against consumer finance companies that currently include class action waivers in their contracts. Please see full Advisory below for…more
| Commercial Law & Contracts, Consumer Protection, Finance & Banking

Corporate and Financial Weekly Digest - Volume XI, Issue 19

SEC/CORPORATE - SEC Approves PCAOB Rules Requiring Disclosure of Audit Participants - On May 9, the Securities and Exchange Commission adopted the proposed new rules and related amendments to auditing standards…more
| Business Organizations, Commercial Law & Contracts, Finance & Banking, International Law & Trade, Securities Law

Landmark Trade Secrets Law Creates New Federal Civil Cause of Action and Compliance Obligations for All Employers

Earlier today, President Obama signed into law the Defend Trade Secrets Act (DTSA). The landmark legislation is significant. For the first time, federal civil protection is afforded to trade secrets alongside copyrights, patents…more
| Business Organizations, Commercial Law & Contracts, Labor & Employment Law, Intellectual Property

Bridging the Week - May 2016 #2

FiNCEN Finalizes Rules Requiring Banks, Broker-Dealers, FCMs, Mutual Funds and IBs to Help Verify Beneficial Owners of Certain Accounts: The Financial Crimes Enforcement Network finalized rules requiring banks,…more
| Bankruptcy, Business Organizations, Consumer Protection, Finance & Banking, Securities Law

Corporate and Financial Weekly Digest - Volume XI, Issue 18

SEC/CORPORATE - SEC Approves Amendments to Implement Provisions of the JOBS Act and FAST Act - On May 3, the Securities and Exchange Commission approved amendments to revise certain rules under the Securities…more
| Business Organizations, Commercial Law & Contracts, Finance & Banking, International Law & Trade, Securities Law

A Hail Mary to the U.S. Supreme Court? Owner of REDSKINS Marks Petitions for Hearing on Constitutionality of Section 2(a) of the Lanham Act

Pro-Football, Inc., the owner of multiple U.S. service mark registrations for REDSKINS, REDSKINETTES, and WASHINGTON REDSKINS, took the somewhat unusual step last week of petitioning the U.S. Supreme Court for a writ of…more
| Art, Entertainment, & Sports Law, Civil Procedure, Constitutional Law, Indigenous Peoples, Intellectual Property

Bridging the Week - May 2016

FINRA Hands Out Report Cards on Potential Spoofing and Layering: The Financial Industry Regulatory Authority said that it issued its first cross-market equities report cards aimed at helping member firms identify potential…more
| Business Organizations, Finance & Banking, Securities Law

Corporate and Financial Weekly Digest - Volume XI, Issue 17

BROKER-DEALER - SEC Modifies and Extends Pilot Program for NMS Plan to Address Extraordinary Market Volatility - The Securities and Exchange Commission has issued an order that modifies and extends the National…more
| Business Organizations, Commercial Law & Contracts, Finance & Banking, Securities Law

Launch of New Generic Top Level Domains .store and .shopping

From time to time, new generic top-level domains (gTLDs) become available for registration. Among the many gTLDs newly available is .store. This gTLD is intended to provide brand owners with a domain that is instantly…more
| Communications & Media Law, Intellectual Property

Bridging the Week - April 2016 #4

Swap Execution Facility Alleges in Lawsuit That Banks Conspired to Prevent Its Success: The TeraExchange, a swaps execution facility registered with the Commodity Futures Trading Commission, and related entities, brought a…more
| Business Organizations, Finance & Banking, Securities Law

Corporate and Financial Weekly Digest - Volume XI, Issue 16

SEC/CORPORATE SEC Releases Registration Fee Estimator On April 18, the Securities and Exchange Commission announced the release of an online tool that will assist companies in calculating registration fees relating to…more
| Business Organizations, Finance & Banking, Securities Law
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