Payment for Order Flow (PFOF) and Gamification: Your Questions Answered
Summer Enforcement Action Review; Raising Money in a Pandemic - Investment Management Roundtable Discussion
Investment Management and Private Funds Roundtable – June 2020
Videocast: Asset management regulation in 2020 videocast series – FinTech initiatives
Videocast: Asset management regulation in 2020 videocast series – Fiduciary investment advice: The patchwork emerges
Videocast: Asset management regulation in 2020 videocast series – SEC enforcement
Videocast: Asset management regulation in 2020 videocast series – Complying with new SEC rules for broker-dealers
Investment Management Roundtable Discussion – Regulatory and Enforcement Update
Regulation Best Interest Videocast Series: Establishing An Investment Platform Post-Regulation BI
Investment Management Update - Focus on Data Privacy and Cybersecurity
Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more
BROKER-DEALER - SEC Issues Amendments, Seeks Public Comment on Holding Foreign Companies Accountable Act - On March 24, the Securities and Exchange Commission adopted interim final amendments to implement...more
BROKER-DEALER - SEC Issues No Action Letter on Treatment of Reserved Powers Trust as Non-US Person by Non-US Investment Adviser for Registration Exemption - On March 5, the Securities Exchange Commission’s Division of...more
SEC/CORPORATE - SEC Staff Releases Sample Comment Letter on Securities Offerings During Periods of Market and Price Volatility - On February 8, the staff of the SEC’s Division of Corporation Finance (the Staff)...more
BROKER-DEALER - FINRA New Rule 3241 Becomes Effective February 15 - On February 15, Financial Industry Regulatory Authority (FINRA) new Rule 3241 — “Registered Person Being Named a Customer’s Beneficiary or Holding a...more
BROKER-DEALER - Annual Verification in the FINRA Contact System Due January 27 - The Financial Industry Regulatory Authority (FINRA) requires that each FINRA member complete an annual verification (the Annual...more
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
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
SEC/CORPORATE - SEC Approves Amendments to Harmonize and Simplify Offering Exemptions - On November 2, the Securities and Exchange Commission voted to adopt a set of amendments (the Amendments) to “harmonize, simplify...more
BROKER-DEALER - SEC and CFTC Chairman Issue Joint Letter Regarding CFTC Orders Implicating Regulations A and D - On October 23, Chairman Jay Clayton of the Securities and Exchange Commission and Chairman Heath P....more
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
BROKER-DEALER - FINRA Requests Comments for Proposed Amendments to FINRA Rule 2165 - On October 5, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 20-34, which requests comment on proposed...more
SEC/CORPORATE - SEC Division of Corporation Finance Issues Additional Guidance Related to Expiring Confidential Treatment Orders - On September 9, the Division of Corporation Finance (the Division) of the Securities and...more
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
Precedential Opinions of Note - Third Circuit Affirms Constitutionality of New Jersey’s Non-Monetary Bail Reform - Holland v. Rosen (July 9, 2018), No. 17-3104 http://www2.ca3.uscourts.gov/opinarch/173104p.pdf Unanimous...more
FINAL CANADIAN BAIL-IN RULES: IMPACT ON STRUCTURED NOTES OFFERED IN THE UNITED STATES - In March 2018, the Canadian government released its final regulations relating to “bail-in instruments” issued by Canadian...more
The new tax law changed the deductibility of settlements with government agencies in some circumstances thereby increasing the cost to companies to settle these cases. The deduction arose from the section in the Internal...more
Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business. ...more
Blackstone is spinning off a new housing maintenance and rental venture in the form of Invitation Homes LP, which could see an IPO as early as January 2017. Invitation Homes is the culmination of a four-year, $10 billion...more
Spotlight on the False Claims Act - Why it matters: This month, we review a recent Ninth Circuit case that allowed a qui tam relator’s action against various Medicare Advantage organizations to proceed, holding that the...more
“Official Acts”—What They Are… and Are Not - Why it matters: On June 27, 2016, the Supreme Court decided McDonnell v. U.S., holding that, for purposes of the federal public corruption statutes, an “official act”...more
SEC Awards Another Whistleblowing Compliance Officer - On April 22, 2015, the Securities and Exchange Commission (SEC) announced an award between $1.4 and $1.6 million to a compliance officer who provided information...more
In This Issue: - FCA Publishes Thematic Review on Structured Product Development and Governance - EU Commission Review of Prospectus Directive - SEC Issues Investor Bulletin Relating to Structured Notes -...more
In this issue: - US Court of Appeals for the District of Columbia Circuit Grants Petition for Rehearing of Decision on Conflicts Minerals Rule - Register for Our 2015 Proxy Season Update Webinar - SEC...more