Katten Muchin Rosenman LLP

525 West Monroe Street
Chicago, Illinois 60661-3693, United States

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

  • 312.902.5200
  • 312.902.1061

The Katten Kattwalk - Issue 06

In this issue: - “Google It”: The Search Engine’s Trademark May Be a Verb, But It’s Not Generic - You Say “Tom‘ah’to,” I Say “Tom‘ay’to”: Determining the Correct Pronunciation of Uniquely Coined Trademarks -…more
| Civil Procedure, Communications & Media Law, Intellectual Property, International Law & Trade

ESMA and Hong Kong SFC Agree MoU for Covered CCP Supervision

On January 16, the European Securities and Markets Authority (ESMA) and the Securities and Futures Commission (SFC) of Hong Kong agreed on a Memorandum of Understanding (MoU) regarding regulatory cooperation and arrangements for…more
| Finance & Banking, International Law & Trade, Securities Law

HSR Act Thresholds to Rise on February 20

On January 21, the Federal Trade Commission published new notification and filing fee thresholds under the Hart-Scott-Rodino Antitrust Improvements Act of 1976 (HSR Act). The revised thresholds will apply to all mergers and…more
| Administrative Law, Antitrust & Trade Regulation, Business Organizations, Mergers & Acquisitions

CFPB Finalizes Minor Changes to “Know Before You Owe” Mortgage Rules

On January 20, the Consumer Financial Protection Bureau (CFPB) finalized two minor modifications to the “Know Before You Owe” mortgage disclosure rules. The changes, which were proposed in October 2014, address when consumers…more
| Finance & Banking, Consumer Protection

Tenth Circuit Affirms Dismissal of Securities Class Action for Failing to Plead Scienter Under the PSLRA

The US Court of Appeals for the Tenth Circuit recently affirmed the dismissal of a class action by investors in Gold Resource Corp. (GRC) alleging that the company and four of its officers violated Section 10(b) of the…more
| Civil Procedure, Commercial Law & Contracts, Finance & Banking, Securities Law

Federal Prosecutors Charge Canadian Trader in “Layering” Scheme

The US Attorney for the District of New Jersey recently filed criminal securities and wire fraud charges against a Canadian man, Aleksandr Milrud, alleging that he engaged in a fraudulent scheme to manipulate the stock market…more
| Commercial Law & Contracts, Communications & Media Law, Criminal Law, Finance & Banking, Securities Law

OCC Issues New Comptroller’s Handbook Sections Relating to Securities Compliance, Litigation and Conflicts of Interest

On January 22, the Office of the Comptroller of the Currency (OCC) issued the “Government Securities Act” booklet of the Comptroller’s Handbook. This new booklet, part of the Securities Compliance series, consolidates certain…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

NFA Increases Minimum Security Deposits for Forex Transactions

National Futures Association (NFA)’s Executive Committee has temporarily increased the minimum security deposits required to be collected and maintained by Forex Dealer Members (FDMs) for foreign exchange transactions involving…more
| Commercial Law & Contracts, Finance & Banking, International Law & Trade, Securities Law

SEC Comments on FINRA’s Proposed Rule Amendment to Increase Pricing Disclosure

On January 20, the Securities and Exchange Commission commented on the Financial Industry Regulatory Authority’s proposed amendment to FINRA Rule 2232 regarding transparency on prices in certain retail transactions in…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

SEC Chair Directs Staff to Review Commission Rule Excluding Conflicting Proxy Proposals

On January 16, Securities and Exchange Commission Chair Mary Jo White announced that she has directed the SEC’s staff (Staff) to review Rule 14a-8(i)(9) promulgated under the Securities Exchange Act of 1934, which allows an…more
| Commercial Law & Contracts, Securities Law

CFTC Grants Order of Registration to Tokyo Commodity Exchange

The Commodity Futures Trading Commission has issued an order granting the Tokyo Commodity Exchange––an exchange subject to the regulatory supervision of the Japanese Ministry of Economy, Trade and Industry and the Ministry of…more
| Commercial Law & Contracts, Finance & Banking, International Law & Trade, Securities Law

Bridging the Week - January 2015 #4

Swiss Franc-Euro Decoupling Spurs Worldwide Legal and Regulatory Fallout - Following the unexpected decoupling by the Swiss National Bank (SNB) of the Swiss franc-Euro exchange rate on January 15; the subsequent meteroic…more
| Commercial Law & Contracts, Finance & Banking, International Law & Trade, Securities Law

Corporate and Financial Weekly Digest - Volume X, Issue 3

In this issue: - SEC Chair Directs Staff to Review Commission Rule Excluding Conflicting Proxy Proposals - SEC Comments on FINRA's Proposed Rule Amendment to Increase Pricing Disclosure - CFTC Grants Order…more
| Antitrust & Trade Regulation, Consumer Protection, International Law & Trade, Securities Law

China Regulator Proposes to Permit Designated Domestic Futures Contracts to be Traded by Foreigners

The China Securities Regulatory Commission (CSRC) is soliciting public comment on proposed rules (Interim Measures) that would open Chinese futures markets to direct trading by non-Chinese persons apparently for both speculative…more
| Agriculture, Energy & Utilities, International Law & Trade, Securities Law

ESMA Announces Open Hearing on MiFID II and MiFIR

The European Securities and Markets Authority (ESMA) announced on January 12 that it will hold an open hearing on the issues identified in its December 2014 consultation paper and proposed regulatory technical standards…more
| Commercial Law & Contracts, Finance & Banking, International Law & Trade, Securities Law
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