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Katten Muchin Rosenman LLP

Corporate and Financial Weekly Digest - Volume IX, Issue 6

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In this issue: - SEC Division of Corporation Finance Issues Guidance on Rule 506(c) Private Placements - SEC Issues No-action Relief Regarding Registration of M&A Brokers - CFTC Issues Guidance on New...more

Dechert LLP

New NFA Quarterly Filing Requirements for all Registered CTAs: Action Required

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The U.S. National Futures Association (NFA) has announced its eagerly anticipated new quarterly filing requirement for commodity trading advisors (CTAs). Such requirement will begin with the reporting of third quarter 2013...more

Katten Muchin Rosenman LLP

SEC Amends Filing Requirements for Dually Registered Clearing Agencies

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The Securities and Exchange Commission issued a final rule affecting clearing agencies registered with both the SEC and the Commodity Futures Trading Commission. The final rule allows certain rule changes by such dually...more

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