New Pay Versus Performance Disclosure to be Required in Upcoming Proxy Statements
On August 25, the Securities and Exchange Commission (SEC) adoptedfinal rules which will require disclosure of a comparison of the...
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Katten Archive
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Fireside Chat With NY Department of Financial Services Deputy Superintendent of Virtual Currency Peter Marton
Crypto with Katten will present "Fireside Chat With NY Department of Financial Services Deputy Superintendent of Virtual Currency Peter...
FINRA Proposes to Reduce TRACE Reporting Time from 15 Minutes to 1 Minute
In Regulatory Notice 22-17, FINRA is soliciting comment on a proposal to amend Rule 6730 to reduce the Trade Reporting and Compliance...
SPAN 2: Coming Soon(ish) to a CME Clearing Member Near You
After years of development and testing, discussions with industry participants, and delays due to pandemic lockdowns, CME has announced a...
Shareholder Inspection Rights Out of Control
Professor Geeyoung Min at Michigan State University College of Law and Alexander M. Krischik, an associate at Richards, Layton &...
Futures Audit Trails Requirements: A Compliance Minefield?
US futures exchange rules require participants with direct access to the exchange’s trading systems to maintain an “electronic audit...
FINRA's New Rule Proposal Eases the Ability for Brokers to Work From Home
On July 27, 2022, FINRA filed a proposed rule change with the SEC to make it easier for brokers to work from home.
The proposed rule will...
Futures Intermediaries: Pre-hedge Block Trades At Your Own Risk
The Commodity Futures Trading Commission recently settled allegations that Powerline Petroleum, a registered introducing broker (IB),...
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