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

ESMA Publishes Guidelines on Reporting Obligations Under the AIFMD

On August 8, the European Securities and Markets Authority (ESMA) published official translations of its Guidelines on Reporting Obligations under Articles 3(3)(d) and 24(1), (2) and (4) of the Alternative Investment Fund…more
| Commercial Law & Contracts, Finance & Banking, International Law & Trade, Securities Law

IRS Ruling Creates Opportunities for Tax Savings by Companies With Substantial Real Estate Assets

On July 29, Windstream announced that it plans to spin off certain telecommunications network assets into an independent, publicly traded real estate investment trust (REIT). Windstream made the announcement after it obtained a…more
| Communications & Media Law, Finance & Banking, Taxation, Real Estate - Commercial

OCC Issues Lease Financing Booklet of the Comptroller’s Handbook and Rescinds Earlier Publication

On August 12, the Office of the Comptroller of the Currency (OCC) issued the “Lease Financing” booklet of the Comptroller’s Handbook. This updated booklet replaces a similarly titled booklet issued in January 1998. The booklet…more
| Commercial Law & Contracts, Finance & Banking

FCA Uses Product Intervention Powers for the First Time

On August 5, the UK Financial Conduct Authority (FCA) issued temporary product intervention rules introducing restrictions on the ability of authorized persons to distribute contingent convertible instruments (CoCos) to retail…more
| Commercial Law & Contracts, Finance & Banking

District Court Considers Prior SEC Complaint Evidence to Establish Scienter Under PSLRA

The US District Court for the Southern District of New York recently denied a defendant’s motion to dismiss a securities fraud class action, accepting as sufficient factual allegations of scienter that were drawn from a…more
| Civil Procedure, Securities Law

Delaware Court of Chancery Dismisses Derivative Suit Brought by Expired Trust

The Delaware Court of Chancery recently held that the trustee of an expired trust does not have capacity to pursue a derivative suit unless authorized by state law, or in the trust instrument. In April 2009, shareholders of…more
| Civil Procedure, Securities Law, Wills, Trusts, & Estate Planning

OCC Increases Semiannual Assessment for Larger National Banks and Federal Savings Associations

On August 11, the Office of the Comptroller of the Currency (OCC) issued a final rule that increases the OCC’s semiannual assessment on national banks and federal savings associations (banks) with more than $40 billion in…more
| Finance & Banking

Consumer Financial Protection Bureau Releases Virtual Currency Advisory

The US Consumer Financial Protection Bureau (CFPB) released an advisory on the risks of virtual currencies. The advisory was issued two months after the Government Accountability Office requested that the CFPB look more closely…more
| Finance & Banking, Consumer Protection, Science, Computers, & Technology

ICE Futures U.S. Issues Amendments to EFRP Rule and FAQs

On August 8, ICE Futures U.S. revised its rule and frequently asked questions related to exchange of futures for related position (EFRP) transactions. The amendments codify the requirements regarding the simultaneous transfer of…more
| Commercial Law & Contracts, Finance & Banking, International Law & Trade, Securities Law

SEC’s Office of Investor Education and Advocacy Releases Alert on Identifying Fraudulent Private Placements

On August 4, the Securities and Exchange Commission’s Office of Investor Education and Advocacy issued an Investor Alert to assist investors in identifying potentially fraudulent private placements. In the Alert, the Office of…more
| Finance & Banking, Consumer Protection, Securities Law

Corporate and Financial Weekly Digest - Volume IX, Issue 32

In this issue: - SEC’s Office of Investor Education and Advocacy Releases Alert on Identifying Fraudulent Private Placements - ICE Futures U.S. Issues Amendments to EFRP Rule and FAQs - Consumer Financial…more
| Civil Procedure, Commercial Law & Contracts, Finance & Banking, Consumer Protection, Securities Law

Amendment to Delaware Judicial Procedure Law Permits Parties to Extend Statute of Limitations for Breach of Contract Claims

Pursuant to an amendment to Section 8106 of the Delaware Courts and Judicial Procedure Law, effective as of August 1, parties to a contract may agree to extend the statute of limitations for up to 20 years for a breach of…more
| Civil Procedure, Commercial Law & Contracts

SEC Brings Fraud Charges Against Oil and Gas Company and Its CEO

On August 4, the Securities and Exchange Commission instituted cease-and-desist proceedings against Houston American Energy Corp., an oil and gas exploration and production company, and John F. Terwilliger, its CEO, for making…more
| Commercial Law & Contracts, Energy & Utilities, Business Torts, Securities Law

SEC Charges CEO and Former CFO With Violation of Sarbanes-Oxley

On July 30, the Securities and Exchange Commission charged computer equipment company QSGI Inc’s CEO, Marc Sherman, and former CFO, Edward L. Cummings, for misrepresenting to external auditors and the investing public the state…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

Amendments to FINRA Rule 2210 Regarding Communications With the Public

Financial Industry Regulatory Authority, Inc. Rule 2210 requires member firms to file certain communications with FINRA’s Advertising Regulation Department, including retail communications. The Rule 2210 filing requirements…more
| Finance & Banking, Securities Law
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Areas of Practice
  • Alternative Dispute Resolution (ADR)
  • Antitrust & Trade Regulation
  • Appellate Practice
  • Art, Entertainment, & Sports Law
  • Bankruptcy
  • Business Organizations
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  • Communications & Media Law
  • Construction Law
  • Debtor/Creditor
  • Energy & Utilities
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  • Labor & Employment Law
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  • Toxic Torts
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  • Wills, Trusts, & Estate Planning
  • Zoning, Planning & Land Use
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Locations
Other U.S. Locations
  • California
  • D.C.
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Other Countries
  • China
  • United Kingdom
Number of Attorneys

400+ Attorneys

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