Katten Muchin Rosenman LLP

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

The DOJ FCPA Enforcement Plan and Guidance Encourages Voluntary Self-Disclosure and Cooperation in Exchange for Additional Mitigation Credit

On April 5, 2016, the Fraud Section of the U.S. Department of Justice's Criminal Division issued a much-awaited Enforcement Plan and Guidance ("Guidance") on the Foreign Corrupt Practices Act (FCPA or the "Act"). This Guidance…more
| Business Organizations, International Law & Trade

Bridging the Week - April 2016 #3

SEC Adopts Swaps Business Conduct Rules Different From Comparable CFTC Requirements: Last week the Securities and Exchange Commission adopted final rules imposing business conduct standards on registered security-based swap…more
| Business Organizations, Finance & Banking, Securities Law

Corporate and Financial Weekly Digest - Volume XI, Issue 15

SEC/CORPORATE - SEC Publishes Concept Release Regarding Business and Financial Disclosure - On April 13, the Securities and Exchange Commission published a concept release, recommended by the SEC’s Division of…more
| Business Organizations, Finance & Banking, Securities Law

The SEC Approves a FINRA Rule Amendment Requiring Registration of Associated Persons Who Design or Develop Algorithmic Trading Strategies

On April 7, the Securities and Exchange Commission (SEC) approved amendments to NASD Rule 1032(f) which will require registration as Securities Traders of associated persons who are primarily responsible for the design,…more
| Business Organizations, Finance & Banking, Science, Computers, & Technology, Securities Law

OFAC General License Facilitates Negotiations With Iran for Commercial Passenger Aircraft

Since we last spoke of "Implementation Day" established on January 16 under the Joint Comprehensive Plan of Action (see "Implementation Day" Brings Openings for Commercial Aircraft Sales With Iran advisory from January 22), the…more
| Commercial Law & Contracts, Elections & Politics, International Law & Trade, Transportation

Private Equity Fund Sponsors' Risk for ERISA Unfunded Pension Liability Grows

On March 28, the US District Court for the District of Massachusetts held that, under the Employee Retirement Income Security Act of 1974 (ERISA), two private equity funds (1) were engaged in a trade or business, and (2) had…more
| Business Organizations, Commercial Law & Contracts, Finance & Banking, Labor & Employment Law, Securities Law

Bridging the Week - April 2016 #2

CFTC Again Extends Deadlines for New OCR Compliance; Puts Pressure on FCM Clients Who Will Not Provide Adequate Information Regarding Trading Control - Late last week, staff of the Division of Market Oversight of the…more
| Business Organizations, Energy & Utilities, Finance & Banking, Securities Law

Corporate and Financial Weekly Digest - Volume XI, Issue 14

BROKER-DEALER - SEC Approves FINRA’s Proposed Expansion of Supplement Schedule for Derivatives and Off-Balance Sheet Items - On April 5, the Financial Industry Regulatory Authority released Regulatory Notice 16-11…more
| Business Organizations, Commercial Law & Contracts, Finance & Banking, Securities Law

Federal Circuit Recognizes an Exception to Inter Partes Review Estoppel Provisions

On March 23, the US Court of Appeals for the Federal Circuit issued a decision endorsing an exception to the estoppel provisions for inter partes review (IPR) under 35 U.S.C § 315(e). Shaw Industry Group, Inc. v. Automated Creel…more
| Civil Procedure, Civil Remedies, Intellectual Property

Bridging the Week - April 2016

GAO Claims US Financial Services Regulation Still Complex and Fragmented - Last week, the US Government Accountability Office reported that US oversight of financial services entities and products has not meaningfully…more
| Business Organizations, Finance & Banking, International Law & Trade, Securities Law
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Contact

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

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

  • 312.902.5200
  • 312.902.1061

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