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Corporate and Financial Weekly Digest, Featuring Topics on Broker/Dealer, Antitrust, and UK/Brexit/EU Developments

BROKER-DEALER - FINRA Proposes Rule Change To Provide Additional Hearing Options for Parties in Certain Arbitrations - On January 30, the Financial Industry Regulatory Authority filed a proposed rule change with the...more

Corporate and Financial Weekly Digest, Featuring Topics on Broker-Dealer, Derivatives, CFTC and UK/Brexit/EU Developments

BROKER-DEALER - FINRA Requests Comment on Proposed Amendments to FINRA Rule 4521 and New Supplemental Liquidity Schedule On January 8, the Financial Industry Regulatory Authority (FINRA) requested comment on proposed...more

Corporate and Financial Weekly Digest, Featuring Topics on Broker-Dealer, Derivatives, CFTC and UK/Brexit/EU DevelopmentsCorporate...

BROKER-DEALER - FINRA Releases 2018 Regulatory and Examination Priority Letter - On January 8, the Financial Industry Regulatory Authority (FINRA) released its annual Regulatory and Examination Priority Letter detailing...more

Corporate and Financial Weekly Digest, Featuring Topics on Broker/Dealer, Derivatives, CFTC and UK/Brexit/EU Developments

BROKER-DEALER - SEC Provides Notice of Fixed Income Market Structure Advisory Committee - The Securities and Exchange Commission Fixed Income Market Structure Advisory Committee recently announced that it will hold a...more

Corporate and Financial Weekly Digest, Featuring Topics on Derivatives; CFTC; UK and EU Developments

CFTC - CFTC Approves Exemption From SEF Registration Requirements for Multilateral Trading Facilities and Organized Trading Facilities Authorized Within the EU - On December 8, in response to a request by the European...more

Corporate and Financial Weekly Digest, Featuring Topics on SEC/Corporate; Broker-Dealer; Derivatives; CFTC; UK, EU and Brexit...

BROKER-DEALER - FINRA Requests Further Comments on the Effectiveness and Efficiency of Its Payments for Market Making Rule - On November 28, as part a retrospective rule review, the Financial Industry Regulatory...more

Corporate and Financial Weekly Digest, Featuring Topics on SEC/Corporate, Broker/Dealer, Derivatives, CFTC and UK/Brexit/EU...

FASB Ceases Work on Proposal To Amend Definition of “Materiality” for US GAAP - As previously discussed in the September 1edition of Corporate & Financial Weekly Digest, the Financial Accounting Standards Board (FASB) had...more

Department of Labor Finalizes 18-Month Extension for Simplified Compliance With the BIC Exemption Under the ERISA Fiduciary Advice...

On November 29, the US Department of Labor (DOL) finalized its 18-month extension of the transition period under the Best Interest Contract Exemption (the "BIC Exemption"). As described in Katten's earlier advisory,...more

Corporate and Financial Weekly Digest, Featuring Topics on Broker/Dealer, Derivatives, CFTC and UK/EU Developments

BROKER-DEALER - FINRA Releases New Targeted Exam Letter Regarding Order Routing Conflicts - On November 10, the Financial Industry Regulatory Authority released the contents of a new Order Routing Conflicts targeted...more

Corporate and Financial Weekly Digest - Volume XII, Issue 43

SEC/CORPORATE - On November 1, the Division of Corporation Finance of the Securities and Exchange Commission (Division) published Staff Legal Bulletin No. 14I (SLB 14I), which provides new, issuer-friendly guidance on...more

Corporate and Financial Weekly Digest - Volume XII, Issue 42

SEC/CORPORATE - SEC Division of Corporation Finance Issues C&DI Clarifying Exemptions for Non-GAAP Information in Forecasts for M&A Transactions - On October 17, the staff of the Securities and Exchange Commission’s...more

Corporate and Financial Weekly Digest - Volume XII, Issue 41

SEC/CORPORATE - SEC Approves PCAOB Rule to Require Enhanced Audit Reports - On October 23, the Securities and Exchange Commission approved new audit reporting standard, AS 3101, proposed by the Public Company Accounting...more

Corporate and Financial Weekly Digest - Volume XII, Issue 40

SEC/CORPORATE - SEC-Proposed Amendments to Modernize, Simplify and Increase the Accessibility of Required Disclosure - As previously reported in the October 13, 2017 edition of Corporate & Financial Weekly Digest, on...more

Corporate and Financial Weekly Digest - Volume XII, Issue 39

SEC/CORPORATE - SEC Announces Rule Proposal to Modernize, Simplify and Increase the Accessibility of Required Disclosure - On October 11, the Securities and Exchange Commission issued a press release announcing that it...more

Corporate and Financial Weekly Digest - Volume XII, Issue 38

SEC/CORPORATE - SEC Provides Regulatory Relief to Companies Impacted by Recent Hurricanes - On September 28, the Securities and Exchange Commission (SEC) announced its issuance of an order and its adoption of interim...more

Corporate and Financial Weekly Digest - Volume XII, Issue 37

SEC/CORPORATE - SEC and Division of Corporation Finance Issue New Pay Ratio Disclosure Guidance - On September 21, the Securities and Exchange Commission (SEC) issued an interpretive release (available here) regarding...more

Corporate and Financial Weekly Digest - Volume XII, Issue 36

SEC/CORPORATE - Implementation of Pay Ratio Disclosure Requirement Not Expected to Be Delayed - On September 15, at the ABA Business Law Section Annual Meeting, the Securities and Exchange Commission (SEC) Division of...more

Corporate and Financial Weekly Digest - Volume XII, Issue 35

SEC/CORPORATE - SEC Commissioners Announce Search for First-Ever Advocate for Small Business Capital Formation - On September 13, the Commissioners of the Securities and Exchange Commission (SEC) announced the launch of...more

Corporate and Financial Weekly Digest - Volume XII, Issue 34

SEC/CORPORATE - NYSE Issues Proposed Amendment to Limit Issuance of Material News After Market Close - On August 18, the New York Stock Exchange (NYSE) issued a proposed amendment to Section 202.06 of the NYSE Listed...more

Corporate and Financial Weekly Digest - Volume XII, Issue 33

SEC/CORPORATE - SEC Division of Corporation Finance Issues New and Updated C&DIs on Omission of Financial Information from Draft Registration Statements - Since the adoption of the Fixing America’s Surface...more

Corporate and Financial Weekly Digest - Volume XII, Issue 32

SEC/CORPORATE - SEC Approves NYSE Amendments Regarding Notice Related to Dividends and Stock Distributions - On August 14, the Securities and Exchange Commission approved a rule change which will now require New York...more

Corporate and Financial Weekly Digest - Volume XII, Issue 31

CFTC - CFTC Suspends Need of Formal Notice for Position Disaggregation Relief - On August 10, the Commodity Futures Trading Commission (the CFTC) issued no-action relief, eliminating the need for certain persons...more

Sign of Future Changes? DOL Proposes 18-Month Extension of Transition Period for Compliance With ERISA "Fiduciary Investment...

On August 9, the US Department of Labor (DOL) announced in a court filing that it has proposed an 18-month extension of the full implementation of the Best Interest Contract Exemption (the "BIC Exemption") under the ERISA...more

Corporate and Financial Weekly Digest - Volume XII, Issue 30

BROKER-DEALER - FINRA and SIPC Agree To Streamline the Annual Report Filing Process for Broker-Dealers - On August 1, the Financial Industry Regulatory Authority and the Securities Investor Protection Corporation (SIPC)...more

Corporate and Financial Weekly Digest - Volume XII, Issue 29

BROKER-DEALER - SEC Cautions Securities Laws May Apply to Interests in Virtual Organizations - On July 25, the Securities and Exchange Commission issued a Report of Investigation cautioning that certain offers and sales...more

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