Jack West

Jack West

Katten Muchin Rosenman LLP

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Corporate & Financial Weekly Digest, Featuring Articles on Breaking News From the CFTC on Non-US CPO Registration Exemption and a...

BROKER-DEALER - SEC Amends CAT NMS Plan - On May 15, the Securities and Exchange Commission adopted amendments to the national market system plan governing the consolidated audit trail (the CAT NMS Plan). The Financial...more

6/1/2020  /  CFTC , Coronavirus/COVID-19 , EU , European Central Bank , Financial Industry Regulatory Authority (FINRA) , International Capital Markets Association (ICMA) , Libor , NFA , Securities and Exchange Commission (SEC) , UK

Corporate & Financial Weekly Digest, Featuring Articles on Continued Changes by FINRA, CFTC and the NFA in Response to COVID-19...

BROKER-DEALER - FINRA Proposes Rule Change to Temporarily Amend Certain Timing, Method of Service and Other Procedural Requirements in FINRA Rules - On May 8, the Financial Industry Regulatory Authority (FINRA) filed...more

5/19/2020  /  CFTC , EU , Financial Industry Regulatory Authority (FINRA) , International Capital Markets Association (ICMA) , ISDA , NFA , Securities and Exchange Commission (SEC) , UK
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