Katten Muchin Rosenman LLP

SEC Approves IEX as a National Securities Exchange and Issues Interpretation To Allow IEX "Speed Bump"

As has been widely reported, the application of Investors' Exchange, LLC (IEX) to register with the Securities and Exchange Commission (SEC) as a national securities exchange has generated unprecedented interest and a fair share…more
| Securities Law

Brexit: Implications for the Financial Services Industry

The UK has voted to cease being an EU member state. Yesterday, June 23, 2016, the UK held a referendum on its future in the European Union (EU)—the "Brexit". The result this morning shows that 51.9% of voters in the UK want…more
| Elections & Politics, International Law & Trade

Corporate and Financial Weekly Digest - Volume XI, Issue 24

SEC/CORPORATE - DC Circuit Court Rejects States’ Challenge of Blue Sky Preemption Under Regulation A+ - On June 14, the Federal Court of Appeals for the District of Columbia (the DC Circuit) rejected challenges from…more
| Business Organizations, Conflict of Laws, Finance & Banking, International Law & Trade, Securities Law

Bridging the Week - June 2016 #3

SEC Overturns CBOE Determination That Individual Traders of Two Omnibus Accounts Were Customers Requiring Application of Customer Identification Rule - The Securities and Exchange Commission set aside a determination by the…more
| Business Organizations, Criminal Law, Finance & Banking, International Law & Trade, Securities Law

US Supreme Court Adds to District Court's Ability to Award Enhanced Patent Damages

On June 13, the US Supreme Court handed down an important unanimous decision relaxing the standard for an award of enhanced patent damages under 35 U.S.C. § 284. See Halo Electronics, Inc. v. Pulse Electronics, Inc., 579 U.S…more
| Civil Procedure, Civil Remedies, Intellectual Property, Science, Computers, & Technology

Corporate and Financial Weekly Digest - Volume XI, Issue 23

SEC/CORPORATE - SEC Adopts Amendment to Form 10-K Permitting the Summary of Business and Financial Information - On June 1, the Securities and Exchange Commission adopted an interim final rule (Rule), as mandated by…more
| Business Organizations, Finance & Banking, International Law & Trade, Securities Law

Bridging the Week - June 2016 #2

CFTC Hosts Regulation AT Roundtable; Chairman Implies Risk Rules Sufficient for 2016: Staff of the Commodity Futures Trading Commission sponsored a roundtable on proposed Regulation Automated Trading last Friday. The…more
| Business Organizations, Finance & Banking, International Law & Trade, Securities Law

Eleventh Circuit Applies Five-Year Statute of Limitations to SEC Disgorgement Claims

On May 26, the Eleventh Circuit Court of Appeals unanimously ruled that the five-year statute of limitations applicable to Securities and Exchange Commission claims for fines and suspensions or bars also applies to SEC claims…more
| Business Organizations, Civil Procedure, Securities Law

Illinois Supreme Court Upholds "Willful and Wanton" Immunity Protection in Peer Review Cases

Background - Dr. Steven Valfer is a licensed OB-GYN who was a member of the medical staff at Evanston Northwestern Hospital ("Hospital") until March 16, 2005 when the Hospital's board of directors approved the…more
| Business Organizations, Civil Procedure, Commercial Law & Contracts, Health

CFTC Proposes To Allow Designated Contract Markets and Swap Execution Facilities To Recognize Certain Hedging and Spread Positions From Speculative Position Limits

On May 26, the Commodity Futures Trading Commission (CFTC) proposed amendments to its previously proposed rules related to speculative position limits on 28 core referenced futures contracts (the "2016 Amendment"). If adopted,…more
| Business Organizations, Finance & Banking, Securities Law

Corporate and Financial Weekly Digest - Volume XI, Issue 22

BROKER-DEALER FINRA - Issues Guidance With Respect to Stop Orders and Volatile Market Conditions - On May 26, FINRA issued guidance encouraging firms to review their policies with respect to the use of stop orders…more
| Business Organizations, Consumer Protection, Finance & Banking, International Law & Trade, Securities Law

Bridging the Week - June 2016

Broker-Dealer Sanctioned by SEC for Anti-Money Laundering Breakdowns: Albert Fried & Company, LLC, a Securities and Exchange Commission-registered broker-dealer, agreed to pay a fine of US $300,000 to resolve charges by the SEC…more
| Business Organizations, Finance & Banking, Securities Law

SEC Enforcement Action Highlights Need for Private Equity Firms to Consider Broker-Dealer Registration

A recent SEC enforcement action against a private equity firm highlights issues identified in a recent speech by the Director of the Securities and Exchange Commission's (SEC) Division of Enforcement as well as an issue dormant…more
| Business Organizations, Securities Law

Between Bridges (June 1, 2016): CFTC to Hold Public Roundtable Regarding Regulation AT; Five Topics To Be Discussed Including Who Should be Covered

The Commodity Futures Trading Commission announced last week that staff will host a public roundtable to discuss five aspects of Regulation Automated Trading, initially proposed in November 2015…more
| Finance & Banking, Securities Law

Corporate and Financial Weekly Digest - Volume XI, Issue 21

SEC/CORPORATE - SEC Releases Target Dates for Proposed and Final Rulemaking - The Securities and Exchange Commission recently published its agenda with respect to upcoming rulemaking, including rulemaking…more
| Consumer Protection, Finance & Banking, International Law & Trade, Securities Law
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