News & Analysis as of September 18, 2024

Commodities Futures Trading Commission

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The European Union is an economic and political partnership comprised of 27 nations within the Eurozone. The EU was established in 1948 to promote stability and cooperation among member states in the aftermath of WWII. The EU maintains a common currency as well as several intranational institutions, including the European Parliament and the European Commission. less -

Stumbling Block? What is the Path Ahead for DeFi Through the Eyes of Policymakers?

BCLP on 2/12/2024

DeFi development carried quietly on throughout 2023, but DeFi protocols also faced significant hurdles. In the US, the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) increased their...more

Overview of crypto asset class regulations in the EU and the US

Dechert LLP on 1/27/2023

This OnPoint summarizes the panel discussion at Dechert’s annual investment funds conference that took place in Luxembourg in the last quarter of 2022. At the conference, we discussed the Regulation on the Markets of Crypto...more

Upcoming Regulatory Initiatives Impacting Private Fund Managers - September 2022

Dechert LLP on 9/22/2022

This latest edition of the regulatory initiatives paper sets out at a high level the core regulatory issues that are likely to impact private fund managers in the coming months, including an overview of the key actions needed...more

Live from FIA L&C: Redefining the Scope of a “Trading Facility”

Cadwalader, Wickersham & Taft LLP on 5/3/2022

This week, attendees at the FIA L&C conference are gathered in Washington, D.C., for the first time in three years to discuss several issues with significant potential impact on the markets. One such issue is redefining the...more

Corporate & Financial Weekly Digest, Featuring Articles on Audit Regulations Under the HFCAA, Approval of the NFA's Swap Dealer...

Katten Muchin Rosenman LLP on 1/18/2021

SEC/CORPORATE - Holding Foreign Companies Accountable Act Signed Into Law by President Trump - In December 2020, President Donald Trump signed into law the Holding Foreign Companies Accountable Act (the HFCAA). The...more

Corporate & Financial Weekly Digest, Featuring Articles on SEC proposes amendments to Rule 144, Elad Roisman named Acting Chairman...

Katten Muchin Rosenman LLP on 1/15/2021

SEC/CORPORATE - SEC Proposes Rule 144 Tacking Amendments - On December 22, 2020, the Securities and Exchange Commission voted to propose amendments to Rule 144 under the Securities Act of 1933 (the Securities Act)...more

Corporate & Financial Weekly Digest, Featuring Articles on LabCFTC's Digital Assets Primer and the FCA and HM Treasury Make...

Katten Muchin Rosenman LLP on 12/21/2020

BROKER-DEALER - SEC Adopts Clearing Agency Rule to Limit Potential for Overlapping or Duplicative Regulation - On December 16, the Securities and Exchange Commission announced that it adopted a rule to limit the...more

Corporate & Financial Weekly Digest, Featuring Articles on NASDAQ Seeks Approval of Board Diversity Rule with SEC, CFTC's Timing...

Katten Muchin Rosenman LLP on 12/7/2020

SEC/CORPORATE - SEC Adopts Amendments to MD&A and Other Financial Disclosures - On November 19, the Securities and Exchange Commission announced that it adopted amendments (the Amendments) to certain financial...more

Corporate & Financial Weekly Digest, Featuring Articles on FINRA's Review of Waiver and Rebate Systems and ESMA Publishes Draft...

Katten Muchin Rosenman LLP on 11/16/2020

BROKER-DEALER - FINRA Conducts Review of Waiver and Rebate Systems and Procedures with Respect to Mutual Fund ROR Purchases The Financial Industry Regulatory Authority (FINRA) announced that it is conducting a review of...more

Corporate & Financial Weekly Digest, Featuring Articles on the SEC's Modernized Auditor Independence Rules, FINRA Guidance on...

Katten Muchin Rosenman LLP on 10/26/2020

SEC/CORPORATE - SEC Adopts Amendments to Modernize Auditor Independence Rules - On October 16, the Securities and Exchange Commission adopted amendments (the Amendments) to its long-standing auditor independence rules....more

Corporate & Financial Weekly Digest, Featuring Articles on the CFTC's Extension of No-Action Relief for Reporting Obligations...

Katten Muchin Rosenman LLP on 10/5/2020

BROKER-DEALER - FINRA Requests Comment on Proposed Proceeding Rule for Failures to Comply With Qualification Examinations Rules of Conduct, Registration Requirements and Eligibility Proceedings Rules - On September 22,...more

Corporate & Financial Weekly Digest, Featuring Articles on Modernized Disclosures by SEC for Banking Registrants, New Guidance by...

Katten Muchin Rosenman LLP on 9/21/2020

BROKER-DEALER - SEC Amends Exchange Act Rule 15c2-11 to Enhance Retail Investor Protections and Modernize Governing Quotations for Over-the-Counter Securities - On September 16, the Securities and Exchange Commission...more

Corporate & Financial Weekly Digest, Featuring Articles on New NYSE Direct Listing Rules from the SEC, a CFTC No-Action Letter...

Katten Muchin Rosenman LLP on 9/8/2020

SEC/CORPORATE - SEC Stays Implementation of New NYSE Direct Listing Rules - As discussed in the August 31, 2020 edition of the Corporate & Financial Weekly Digest, on August 26, the Securities and Exchange Commission...more

Corporate & Financial Weekly Digest, Featuring Articles on FINRA Updates to Risk Disclosures and a Request for Comment on...

Katten Muchin Rosenman LLP on 8/24/2020

BROKER-DEALER - FINRA Releases an Updated Security Futures Risk Disclosure Statement - On August 14, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 20-28 that included an updated Security...more

Corporate & Financial Weekly Digest, Featuring Articles on New Standardized Approaches to Cybersecurity Preparedness, FINRA's...

Katten Muchin Rosenman LLP on 7/20/2020

SEC/CORPORATE - SEC Approves Extension of Temporary NYSE Waiver of Stockholder Approval Rules - Recently, the Securities and Exchange Commission issued a release (the Release) approving, with immediate effectiveness,...more

Corporate & Financial Weekly Digest, Featuring Articles on Additional LIBOR Replacement Materials from the ARRC, Amendments to...

Katten Muchin Rosenman LLP on 7/13/2020

BROKER-DEALER - FINRA Announces Updates to Interpretations of Margin Rule Regarding Control and Restricted Securities and Consolidation of Accounts - On July 2, the Financial Industry Regulatory Authority (FINRA) issued...more

Corporate & Financial Weekly Digest, Featuring Articles on FINRA Releases White Paper on Artificial Intelligence, OCC Promulgates...

Katten Muchin Rosenman LLP on 6/15/2020

BROKER-DEALER - FINRA Revises Problem Codes for Reporting Customer Complaints and for Filing Documents Online - On June 10, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 20-17, which...more

Corporate & Financial Weekly Digest, Featuring Articles on SEC's Proposal to Amend OTC Securities Quotation Rule, FINRA's...

Katten Muchin Rosenman LLP on 10/7/2019

BROKER-DEALER - SEC Proposes to Amend Quotation Rule for OTC Securities - The Securities and Exchange Commission (SEC) has proposed to amend Rule 15c2-11, which governs the publication and submission of quotations by...more

Key Regulatory Topics: Weekly Update 8 March - 14 March 2019

A&O Shearman on 3/20/2019

BREXIT - On 7 February, ordinance no. 2019-75 relating to the preparatory measures in connection with the United-Kingdom’s withdrawal from the European Union in respect of financial services (the Ordinance) was published. ...more

Investment Funds Update – Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

Dechert LLP on 3/15/2019

FCA issues further guidance on Brexit preparations - The FCA has published a series of guidance to assist regulated firms in finalizing their preparations for Brexit, particularly in the event of a no-deal scenario when EU...more

Corporate & Financial Weekly Digest, Featuring Articles About FINRA Notices on Cybersecurity and Margin Requirements and No-Deal...

Katten Muchin Rosenman LLP on 2/25/2019

BROKER-DEALER - FINRA Issues Information Notice Regarding Suspicious Email Sent to Member Firms - On February 13, the Financial Industry Regulatory Authority (FINRA) published an information notice alerting member firms...more

Corporate & Financial Weekly Digest, Featuring Articles on NMS Stocks, Security-Based Swaps, Eurex Clearing AG and Brexit

Katten Muchin Rosenman LLP on 12/24/2018

BROKER-DEALER - SEC Adopts Transaction Fee Pilot for NMS Stocks - On December 19, the US Securities and Exchange Commission announced that it had voted to conduct a Transaction Fee Pilot in national market system (NMS)...more

Corporate & Financial Weekly Digest, Featuring Articles on Swaps, Brexit, EEA Passport Rights and MLD4

Katten Muchin Rosenman LLP on 11/12/2018

EU /BREXIT DEVELOPMENTS - EEA Passport Rights Regulations 2018 Published - On November 7, the European Economic Area (EEA) Passport Rights (Amendment, etc., and Transitional Provisions) (EU Exit) Regulations 2018...more

Corporate & Financial Weekly Digest, Featuring Articles on Swaps, CFTC Initial Margin Phase 5, Brexit, and EU Obligations of...

Katten Muchin Rosenman LLP on 11/5/2018

DERIVATIVES - SEC Issues Statement on Swap Business Conduct Rules - On October 31, the Securities and Exchange Commission took an unusual additional step towards implementing its rules for security-based swaps (SBS) by...more

Corporate & Financial Weekly Digest, Featuring Articles on Amended FINRA Registration Rules, Volcker Rule Amendments and Proposed...

Katten Muchin Rosenman LLP on 9/10/2018

BROKER-DEALER - Amended FINRA Registration Rules To Take Effect October 1 - Amended Financial Industry Regulatory Authority registration, qualification and continuing education rules will become effective on October 1....more

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