After approximately 16 years of publication, today is our final official edition of Corporate & Financial Weekly Digest. On behalf of our attorneys, editors and all of our authors, we are proud to have been a reliable source on trending
Katten Muchin Rosenman
Katten is a full-service law firm with more than 600 attorneys in locations across the United States and an affiliate in London. We strive to be a firm of first choice for clients seeking sophisticated, high-value legal services nationally and globally. While Katten offers an extensive range of legal services across numerous industries, our core areas of practice include corporate, financial services, litigation, real estate, commercial finance, intellectual property and trusts and estates. Among our clients are a wide range of public and private companies, including a third of the Fortune 100, as well as a number of government and nonprofit organizations and individuals.
Website:
https://katten.com/
Katten Muchin Rosenman Blogs
Blog Authors
Latest from Katten Muchin Rosenman
FINRA Publishes 2021 Industry Spotlight
On May 25, the Financial Industry Regulatory Authority (FINRA) published the 2021 FINRA Industry Spotlight (Industry Spotlight), which is FINRA’s annual statistical report covering the brokerage firms, registered representatives and market activity that FINRA regulates. The 2021 edition includes new…
FINRA Publishes 2021 Budget
The Financial Industry Regulatory Authority (FINRA) has published its 2021 Annual Budget Summary (Budget Summary), which outlines how FINRA plans to deploy resources in 2021 to meet its various regulatory responsibilities.…
CFTC Announces Agricultural Advisory Committee Meeting
On May 25, the Commodity Futures Trading Commission announced that on June 9, from 10:00 a.m. to 12:00 p.m., the Agricultural Advisory Committee (AAC) would hold a public meeting via teleconference. At this meeting, the AAC will receive a report…
CFTC Staff Publishes Updated Responses to FAQs Regarding Commission Regulation 4.27 and Form CPO-PQR
On May 26, Commodity Futures Trading Commission’s Market Participants Division (MPD) published updated responses to frequently asked questions regarding CFTC Regulation 4.27 and Form CPO-PQR (FAQs). These FAQs update the 2015 FAQs that addressed issues on Form CPO-PQR from filing…
Effective Date for NFA Member Swap Dealer and Major Swap Participant Dues Increases
On May 24, the National Futures Association (NFA) issued Notice to Members 1-21-16, announcing the effective date for NFA Member swap dealer and major swap participant dues increases.
NFA Bylaw 1301 imposes annual dues on NFA Member swap dealers (SD)…
Notice of Filing of a Proposed Rule Change to Adopt a Supplemental Liquidity Schedule
The Securities and Exchange Commission is seeking comments on a Financial Industry Regulatory Authority (FINRA) proposal to adopt a Supplemental Liquidity Schedule (SLS), and instructions thereto, pursuant to FINRA Rule 4524. FINRA Rule 4524 provides in part that each member,…
ESMA Recommends Permanently Lowering the Reporting Threshold for Net Short Positions to 0.1 Percent
On May 20, the European Securities and Markets Authority (ESMA) proposed to the European Commission (Commission) a permanent reduction to the threshold to notify net short positions on shares to EU national competent authorities (NCAs) from 0.2 percent to 0.1…
European Commissioner Speech on AML and CTF Action Plan Reforms
On May 18, a speech by the European Commissioner for Financial Services, Financial Stability and Capital Markets Union was published outlining elements of the anti-money laundering (AML) and counter-terrorist financing (CTF) action plan that the European Commission (Commission) intends to…
FINRA Shares Practices Firms Use to Protect Customers from Online Account Takeover Attempts
By Susan Light & Shelby Kost
On April 11, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 21-18 (Notice) in response to increasing reports from customers experiencing customer account takeover (ATO) incidents.…