Katten Muchin Rosenman LLP

Financial Markets and Funds Quick Take | Issue 33

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds…more

Broker-Dealer, CFTC, EU, Financial Conduct Authority (FCA), Financial Industry Regulatory Authority (FINRA)

See all updates »

Kattison Avenue | Issue 12 - Spring 2024

We're thrilled to present a special Spring edition of Kattison Avenue, which delves into highlights and takeaways from the recent Katten-hosted Association of National Advertisers (ANA) 1-Day Conference in our New York office…more

Advertising, Artificial Intelligence, False Advertising, Greenwashing, Marketing

See all updates »

Health Care Law Perspectives - November 2019 • Volume I

CMS’ 340B Rate Cut Continues to Dampen Hospital Outpatient Expansion Efforts - Hospitals hoping to benefit from favorable 340B drug pricing when acquiring independent physician practices for conversion to hospital outpatient…more

Anti-Kickback Statute, Centers for Medicare & Medicaid Services (CMS), Department of Health and Human Services (HHS), Final Rules, Health Care Providers

See all updates »

2024 Year-End Estate Planning Advisory

This year was busy for trusts and estates practitioners. With 2025 marking the final year of the Tax Cuts and Jobs Act (TCJA), many of its implications for federal corporate and individual income tax, gift, estate and…more

Estate Planning, Estate Tax, Estate-Tax Exemption, Generation-Skipping Transfer, Gift Tax

See all updates »

2024 Year-End Estate Planning Advisory

This year was busy for trusts and estates practitioners. With 2025 marking the final year of the Tax Cuts and Jobs Act (TCJA), many of its implications for federal corporate and individual income tax, gift, estate and…more

Estate Planning, Estate Tax, Estate-Tax Exemption, Generation-Skipping Transfer, Gift Tax

See all updates »

Texas Hospital-at-Home Program Is Official & HHSC Again Extends Emergency Rule

Recently we published a post, titled "Texas Legislature Provides Pathway for Continuation of Hospital-at-Home Program," which discussed House Bill 1890 that passed both houses of the Texas Legislature and was pending the…more

Centers for Medicare & Medicaid Services (CMS), Health Care Providers, Hospitals, State Legislatures

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The COVID-19 Pandemic: Impacts on Real Estate Transactions

Katten’s Real Estate Group has been closely monitoring developments with respect to the spread of the novel coronavirus (COVID-19) and related economic, legal and public policy developments. We have also been in conversations…more

Business Interruption, Coronavirus/COVID-19, Federal Housing Administration (FHA), Force Majeure Clause, HUD

See all updates »

New York State Legislature Passes FY 2025 Budget, Including Significant Action on Housing

On April 20, 2024, after months of negotiations, the New York State Legislature enacted the state’s 2024-2025 Budget (Budget). The Budget represents the most significant state action on housing in several budget cycles and…more

Affordable Housing, Community Development, Legislative Agendas, Minimum Wage, Multi-Family Housing

See all updates »

2024 Year-End Estate Planning: Texas Updates

It has been a quiet year in Texas on the Private Wealth front as the Texas State Legislature enjoyed its biennial recess. Nevertheless, Texas' increasingly business-friendly environment saw some activity with its special new…more

Estate Planning, Franchise Taxes, State Taxes, Tax Planning

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Challenges to Advance Notice Bylaws Are Spiking

The last three months have seen a jump in shareholder lawsuits challenging “advance notice” provisions in company bylaws. Advance notice provisions are ubiquitous among Delaware public companies…more

Advance Notice, Board of Directors, Bylaws, Corporate Governance, Shareholders

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Kattison Avenue | Issue 12 - Spring 2024

We're thrilled to present a special Spring edition of Kattison Avenue, which delves into highlights and takeaways from the recent Katten-hosted Association of National Advertisers (ANA) 1-Day Conference in our New York office…more

Advertising, Artificial Intelligence, False Advertising, Greenwashing, Marketing

See all updates »

2023 Katten Middle-Market Private Equity Report

Dealmakers Diverge on PE Outlook Amid Market Uncertainty - Middle-market private equity (PE) firms have mixed expectations for the U.S. mergers and acquisitions (M&A) market in 2023, citing high inflation and concern that…more

Acquisitions, Financing, Investors, Mergers, Private Equity

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United States ex rel. Polansky v. Executive Health Resources, Inc, et al.: Supreme Court Clarifies Standard Under Which Government Can Intervene and Dismiss FCA Actions

Today, the Supreme Court issued a decision in United States el rel. Polansky v. Executive Health Resources, Inc., et al, clarifying that the government maintains authority to dismiss a qui tam False Claims Act (FCA) action after…more

Certiorari, False Claims Act (FCA), Motion to Dismiss, Qui Tam, Relators

See all updates »

2024 Year-End Estate Planning Advisory

This year was busy for trusts and estates practitioners. With 2025 marking the final year of the Tax Cuts and Jobs Act (TCJA), many of its implications for federal corporate and individual income tax, gift, estate and…more

Estate Planning, Estate Tax, Estate-Tax Exemption, Generation-Skipping Transfer, Gift Tax

See all updates »

Financial Markets and Funds Quick Take | Issue 31

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds…more

CFTC, Digital Assets, EMIR, Environmental Social & Governance (ESG), EU

See all updates »

11th Circuit Rejects 'Sole Purpose' Argument as Basis for Denying Privilege Protections Under Patient Safety Act

At long last, the "sole purpose" argument used by trial courts and plaintiffs' attorneys was soundly rejected in a recent decision issued by the 11th Circuit Court of Appeals, In Re: BayCare Medical Group, No. 23-12571, May 14,…more

Data Protection, Employment Discrimination, Health Care Providers, Healthcare Facilities, Hospitals

See all updates »

ESG Guidepost | Issue 1

Welcome to the inaugural issue of Katten ESG Guidepost. Each month, ESG Guidepost will highlight the latest news, legal and regulatory developments involving environmental, social and governance matters. …more

Biden Administration, Carbon Emissions, Department of Labor (DOL), Environmental Social & Governance (ESG), Fashion Industry

See all updates »

The Katten Kattwalk | Issue 21

SCOTUS Confirms Willful Infringement Not Required to Award Trademark Profits - On April 23, the United States Supreme Court unanimously ruled that a plaintiff can win a profits remedy without showing that the defendant…more

Coronavirus/COVID-19, Fashion Branding, Fashion Design, Fashion Industry, Force Majeure Clause

See all updates »

Lions and Tigers and COVID? Oh My!

How businesses may use the ferae naturae doctrine as a defense to coronavirus-related litigation. As people emerge from stay-at-home orders and businesses reopen, responsible business owners are working hard to ensure the…more

Coronavirus/COVID-19, Corporate Counsel, Health and Safety, Re-Opening Guidelines, Workplace Safety

See all updates »

Financial Markets and Funds Quick Take | Issue 33

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds…more

Broker-Dealer, CFTC, EU, Financial Conduct Authority (FCA), Financial Industry Regulatory Authority (FINRA)

See all updates »

Financial Markets and Funds Quick Take | Issue 33

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds…more

Broker-Dealer, CFTC, EU, Financial Conduct Authority (FCA), Financial Industry Regulatory Authority (FINRA)

See all updates »

SEC Revises Tick Size, Access Fees and Round-Lot Definition and Takes Steps to Disseminate Odd-Lot and Other Better Priced Orders

On September 18, the Securities and Exchange Commission (SEC or the Commission) adopted amendments to Rule 612 (Tick Sizes) and Rule 610 (Access Fees) under Regulation NMS under the Securities Exchange Act of 1934, as amended…more

Broker-Dealer, Financial Services Industry, Securities and Exchange Commission (SEC), Securities Exchange Act of 1934, Securities Exchanges

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2024 Year-End Estate Planning: Illinois Updates

The following is a summary of some of the key legislative and judicial updates from Illinois in 2024. Control and Protection of Trust Property - On August 9, 2024, Senate Bill 3343 (SB 3343) was signed into law, which…more

Estate Planning, Estate Tax, Power of Attorney, Spouses, Tax Planning

See all updates »

Financial Markets and Funds Quick Take | Issue 33

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds…more

Broker-Dealer, CFTC, EU, Financial Conduct Authority (FCA), Financial Industry Regulatory Authority (FINRA)

See all updates »

Financial Markets and Funds Quick Take | Issue 21

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds…more

Artificial Intelligence, CFTC, Cryptoassets, Cryptocurrency, EU

See all updates »

Chicago United States Attorney's Office Launches Pilot Program to Encourage Self-Disclosure

On September 16, the US Attorney's Office for the Northern District of Illinois (NDIL) announced the launch of its Individual Self-Disclosure (ISD) Pilot Program. The program offers non-prosecution agreements to qualifying…more

Cooperation, Corporate Misconduct, Criminal Prosecution, Department of Justice (DOJ), Illinois

See all updates »

Tackling the Unexecuted Damages Model Dilemma When Opposing Class Certification – Ninth Circuit Decision Offers Important Insights

Earlier this year, the Court of Appeals for the Ninth Circuit issued its decision in Lytle v. Nutramax Labs, Inc., finding that a class action plaintiff may rely on a model to demonstrate that damages are susceptible to common…more

Appeals, Class Action, Class Certification, Class Members, Federal Rules of Civil Procedure

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Tackling the Unexecuted Damages Model Dilemma When Opposing Class Certification – Ninth Circuit Decision Offers Important Insights

Earlier this year, the Court of Appeals for the Ninth Circuit issued its decision in Lytle v. Nutramax Labs, Inc., finding that a class action plaintiff may rely on a model to demonstrate that damages are susceptible to common…more

Appeals, Class Action, Class Certification, Class Members, Federal Rules of Civil Procedure

See all updates »

Navigating the Regulatory Landscape – SEC Adopts New Rules Requiring Increased Disclosure on Stock Buybacks – Including Quarterly Reporting of Daily Repurchase Activity

On May 3, 2023, by a 3-2 vote, the Securities and Exchange Commission (SEC) adopted amendments to disclosure rules (the “new buyback disclosure rules”) relating to repurchases of equity securities by issuers (or repurchases on…more

Disclosure, Disclosure Requirements, Repurchase Agreements, Repurchases, Securities

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Kattison Avenue | Issue 12 - Spring 2024

We're thrilled to present a special Spring edition of Kattison Avenue, which delves into highlights and takeaways from the recent Katten-hosted Association of National Advertisers (ANA) 1-Day Conference in our New York office…more

Advertising, Artificial Intelligence, False Advertising, Greenwashing, Marketing

See all updates »

Second Circuit Reaffirms That Attorney-Client Privilege Is Not Waived By Sharing Documents With Parties Pursuant to a Common Legal Interest—Even Where That Interest Has Commercial Objectives

On November 10, 2015, the US Court of Appeals for the Second Circuit issued an opinion reaffirming that the attorney-client privilege and work product protections were not waived by a businessman and his company when they shared…more

Attorney-Client Privilege, Common-Interest Privilege, Litigation Strategies, Work-Product Doctrine

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ESG Guidepost | Issue 7

Katten ESG Guidepost is a monthly publication highlighting the latest news, legal and regulatory developments involving environmental, social and governance matters…more

Carbon Emissions, Corporate Governance, Corporate Social Responsibility, Diversity and Inclusion Standards (D&I), Environmental Social & Governance (ESG)

See all updates »

SEC Division of Examinations Highlights Common Deficiencies in Registered Investment Company Core Examination Areas

On November 4, the Securities and Exchange Commission's (SEC) Division of Examinations (Division) published an analysis of the most common deficiencies identified across its three core registered investment company (RIC)…more

Compliance, Corporate Governance, Disclosure, Disclosure Requirements, Policies and Procedures

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Structured Finance Year in Review and the Outlook for 2021 | Key Takeaways

On December 8 and 10, Katten’s Structured Finance and Securitization Department presented the “Year in Review and Outlook for 2021” webinar series. Topics covered by Katten attorneys and guest speakers include the impact of the…more

Biden Administration, Coronavirus/COVID-19, EU, FDIC, FinTech

See all updates »

2024 Year-End Estate Planning: North Carolina Updates

Remote Electronic Notary Act - As discussed in last year's advisory, the North Carolina Remote Electronic Notary Act (referred to as RENA or the Act) was enacted on July 8, 2022. This Act permanently codified remote…more

Beneficiaries, Estate Planning, Remote Notarization, Trusts, Wills

See all updates »

2024 Year-End Estate Planning Advisory

This year was busy for trusts and estates practitioners. With 2025 marking the final year of the Tax Cuts and Jobs Act (TCJA), many of its implications for federal corporate and individual income tax, gift, estate and…more

Estate Planning, Estate Tax, Estate-Tax Exemption, Generation-Skipping Transfer, Gift Tax

See all updates »

2024 Year-End Estate Planning: North Carolina Updates

Remote Electronic Notary Act - As discussed in last year's advisory, the North Carolina Remote Electronic Notary Act (referred to as RENA or the Act) was enacted on July 8, 2022. This Act permanently codified remote…more

Beneficiaries, Estate Planning, Remote Notarization, Trusts, Wills

See all updates »

Financial Markets and Funds Quick Take | Issue 11

SEC Announces Inspection Priorities for 2023 - On February 7, the Securities and Exchange Commission (SEC) announced its inspection priorities for the current year. The announcement began by noting that the SEC examined 15…more

Broker-Dealer, Disclosure Requirements, Enforcement Actions, Environmental Social & Governance (ESG), Fiduciary Duty

See all updates »

ESG Guidepost | Issue 16

Katten ESG Guidepost is a monthly publication highlighting the latest news, legal and regulatory developments involving environmental, social and governance matters…more

Administrative Procedure Act, Chevron Deference, Cybersecurity, Environmental Social & Governance (ESG), Federal Trade Commission (FTC)

See all updates »

New York State Legislature Passes FY 2025 Budget, Including Significant Action on Housing

On April 20, 2024, after months of negotiations, the New York State Legislature enacted the state’s 2024-2025 Budget (Budget). The Budget represents the most significant state action on housing in several budget cycles and…more

Affordable Housing, Community Development, Legislative Agendas, Minimum Wage, Multi-Family Housing

See all updates »

2024 Year-End Estate Planning Advisory

This year was busy for trusts and estates practitioners. With 2025 marking the final year of the Tax Cuts and Jobs Act (TCJA), many of its implications for federal corporate and individual income tax, gift, estate and…more

Estate Planning, Estate Tax, Estate-Tax Exemption, Generation-Skipping Transfer, Gift Tax

See all updates »

HHS Proposes Significant Changes to the HIPAA Privacy Rule

As part of its Regulatory Sprint to Coordinated Care, the US Department of Health and Human Services (HHS) recently proposed important changes to the Health Insurance Portability and Accountability Act (HIPAA) privacy rule. The…more

Centers for Medicare & Medicaid Services (CMS), Data Privacy, Department of Health and Human Services (HHS), Health Care Providers, Health Insurance Portability and Accountability Act (HIPAA)

See all updates »

Antitrust Developments to Monitor Under the Next Trump Administration

In the coming months, the President-elect will appoint, and the Senate will confirm, a new Assistant Attorney General in charge of the Department of Justice (DOJ) Antitrust Division and a new Commissioner to fill a slot at the…more

Acquisitions, Antitrust Division, Antitrust Provisions, Corporate Counsel, Department of Justice (DOJ)

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Author of Voluntary Carbon Market Disclosures Act Notes Intent to Begin Compliance in 2025

California has garnered a significant amount of attention due to its recent legislation in the ESG arena—namely, Senate Bill No. 253, the Climate Corporate Data Accountability Act; Senate Bill No. 261, Greenhouse Gases:…more

Carbon Emissions, Climate Change, Disclosure Requirements, Environmental Social & Governance (ESG)

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2024 Year-End Estate Planning: Inflation-Adjusted Tax Figures

Federal Estate, GST and Gift Tax Rates The federal estate, gift and GST applicable exclusion amounts are as summarized below. In simple terms, these dollar figures represent the amount of wealth that each individual can…more

Estate Planning, Estate Tax, Estate-Tax Exemption, Generation-Skipping Transfer, Gift Tax

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New York City Council Puts an End to the Payment of Brokers' Fees by Residential Tenants - Landlords May Get Stuck with the Brokers' Fees

On November 13, 2024, the Fairness in Apartment Rentals Act (FARE) (the Bill) was approved by the New York City Council (City Council) prohibiting the imposition or collection of any fee or commission for the rental of…more

City of New York, Landlords, New Legislation, New York, Property Owners

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Reaction to Uncertainty in Affordable Housing Industry Brought on by Trump Election

The 2016 Election has created more questions than answers for the affordable housing industry. Very little is known about President-elect Trump's vision for affordable housing. On one hand, Mr. Trump has described himself as an…more

Affordable Housing, Fair Housing Act (FHA), HUD, LIHTC, Popular

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Financial Markets and Funds Quick Take | Issue 33

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds…more

Broker-Dealer, CFTC, EU, Financial Conduct Authority (FCA), Financial Industry Regulatory Authority (FINRA)

See all updates »

Plastic Pollution Case Dismissed

In an important decision regarding plastic recycling and disposal, the New York Supreme Court has dismissed the NY Attorney General's lawsuit against Pepsico for allegedly contributing to plastic pollution in New York waterways…more

Plastics, Pollution Control, Popular, Recycling, Waste Management

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UK Financial Insights from Katten | Issue 17

UK Financial Insights from Katten is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds in the UK and Europe…more

Banking Sector, EU, Financial Conduct Authority (FCA), Financial Institutions, Financial Regulatory Reform

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DOJ Signals Increased Use of Corporate Monitors

On October 28, 2021, Deputy Attorney General Lisa Monaco announced revised Department of Justice (DOJ) guidance on corporate monitors. Going forward, prosecutors are free to require the imposition of a corporate monitor when…more

Compliance, Corporate Investigations, Corporate Misconduct, Corporate Monitoring, Corruption

See all updates »

2024 Year-End Estate Planning Advisory

This year was busy for trusts and estates practitioners. With 2025 marking the final year of the Tax Cuts and Jobs Act (TCJA), many of its implications for federal corporate and individual income tax, gift, estate and…more

Estate Planning, Estate Tax, Estate-Tax Exemption, Generation-Skipping Transfer, Gift Tax

See all updates »

The Gathering Storm: Equity Compensation and 10b5-1 Plans Under Attack

In this presentation: - The Genesis – Merger Objection Cases - The New Wave of Injunction Cases - Say-on-Pay Injunction Cases - Share Issuance Injunction Cases - Post-Vote Derivative Cases -…more

10b5-1 Plans, Compliance, Derivative Suit, Equity Compensation, Injunctions

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Is the Coronavirus Pandemic a Material Adverse Event? It Depends.

As the human toll of the novel coronavirus continues to rise, individuals, businesses and governments face a Hobson's Choice between preserving lives and livelihoods. A pandemic-related economic downturn may eventually threaten…more

Business Interruption, Coronavirus/COVID-19, Force Majeure Clause, Material Adverse Change Clauses (MACs)

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Second Circuit Opinion Allows Market Manipulation Claims Based on Hedging Activity

On April 27, the US Court of Appeals for the Second Circuit released its opinion in Set Capital LLC v. Credit Suisse Group AG, No. 19-3466 (2d Cir. 2021). The decision is noteworthy because the Court permitted market…more

Hedging, Market Manipulation, Omissions, Price Manipulation, Securities

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The Katten Kattwalk | Issue 21

SCOTUS Confirms Willful Infringement Not Required to Award Trademark Profits - On April 23, the United States Supreme Court unanimously ruled that a plaintiff can win a profits remedy without showing that the defendant…more

Coronavirus/COVID-19, Fashion Branding, Fashion Design, Fashion Industry, Force Majeure Clause

See all updates »

The Katten Kattwalk | Issue 21

SCOTUS Confirms Willful Infringement Not Required to Award Trademark Profits - On April 23, the United States Supreme Court unanimously ruled that a plaintiff can win a profits remedy without showing that the defendant…more

Coronavirus/COVID-19, Fashion Branding, Fashion Design, Fashion Industry, Force Majeure Clause

See all updates »

See Katten's Model Clawback Policy as Mandatory Rules Take Effect

As we previously noted, the Securities and Exchange Commission (SEC) adopted long-delayed rules on October 26, 2022, which will require companies to implement mandatory "clawback" policies with respect to incentive-based…more

Clawbacks, Corporate Governance, Corporate Officers, Disclosure Requirements, Dodd-Frank

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ESG Guidepost | Issue 19

Katten ESG Guidepost is a monthly publication highlighting the latest news, legal and regulatory developments involving environmental, social and governance matters…more

Airlines, Artificial Intelligence, Carbon Emissions, CFTC, Climate Change

See all updates »

2024 Year-End Estate Planning Advisory

This year was busy for trusts and estates practitioners. With 2025 marking the final year of the Tax Cuts and Jobs Act (TCJA), many of its implications for federal corporate and individual income tax, gift, estate and…more

Estate Planning, Estate Tax, Estate-Tax Exemption, Generation-Skipping Transfer, Gift Tax

See all updates »

2024 Year-End Estate Planning Advisory

This year was busy for trusts and estates practitioners. With 2025 marking the final year of the Tax Cuts and Jobs Act (TCJA), many of its implications for federal corporate and individual income tax, gift, estate and…more

Estate Planning, Estate Tax, Estate-Tax Exemption, Generation-Skipping Transfer, Gift Tax

See all updates »

The Katten Kattwalk | Issue 21

SCOTUS Confirms Willful Infringement Not Required to Award Trademark Profits - On April 23, the United States Supreme Court unanimously ruled that a plaintiff can win a profits remedy without showing that the defendant…more

Coronavirus/COVID-19, Fashion Branding, Fashion Design, Fashion Industry, Force Majeure Clause

See all updates »

UK Financial Insights from Katten | Issue 14

UK Financial Insights from Katten is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds in the UK and Europe…more

Digital Assets, Environmental Social & Governance (ESG), Financial Conduct Authority (FCA), Financial Institutions, Financial Markets

See all updates »

2024 Year-End Estate Planning Advisory

This year was busy for trusts and estates practitioners. With 2025 marking the final year of the Tax Cuts and Jobs Act (TCJA), many of its implications for federal corporate and individual income tax, gift, estate and…more

Estate Planning, Estate Tax, Estate-Tax Exemption, Generation-Skipping Transfer, Gift Tax

See all updates »

ESG Guidepost | Issue 15

Katten ESG Guidepost is a monthly publication highlighting the latest news, legal and regulatory developments involving environmental, social and governance matters…more

Artificial Intelligence, Canada, CFTC, Corporate Social Responsibility, Cybersecurity

See all updates »

Financial Markets and Funds Quick Take | Issue 33

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds…more

Broker-Dealer, CFTC, EU, Financial Conduct Authority (FCA), Financial Industry Regulatory Authority (FINRA)

See all updates »

Top Ten Legal Considerations for Use and/or Development of Artificial Intelligence in Health Care

The purpose of this article is to provide an overview of the top ten legal issues that health care providers and health care companies should consider when using and/or developing artificial intelligence (AI). In particular,…more

Antitrust Provisions, Artificial Intelligence, Ethical Standards, Health Care Providers, Healthcare

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DOJ Details Its Bounty Program as New Corporate Whistleblower Program Rolls Out

After teasing the release of a new corporate whistleblower program in March 2024, Deputy Attorney General Lisa Monaco and Principal Deputy Assistant Attorney General Nicole M. Argentieri each took turns announcing on August 1…more

Corporate Crimes, Corporate Misconduct, Department of Justice (DOJ), Financial Institutions, Healthcare

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Coronavirus (COVID-19) Federal and New York Health Care Primary Legal Sources - April 2020

A note from Katten’s Health Care team to our friends and colleagues - Our work involving the health care law of COVID-19 has necessarily involved a large body of “new law” and new resources. Katten’s health care attorneys…more

Coronavirus/COVID-19, Paycheck Protection Program (PPP), Relief Measures

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Privacy, Data and Cybersecurity Quick Clicks | Issue 7

Katten's Privacy, Data and Cybersecurity Quick Clicks is a monthly newsletter highlighting the latest news and legal developments involving privacy, data and cybersecurity issues across the globe…more

California Privacy Protection Agency (CPPA), Cybersecurity, Data Privacy, Data Protection, EU

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Supreme Court Finds CFPB Funding Constitutional

In a 7-2 decision that was widely expected after oral argument, the US Supreme Court issued its decision in Consumer Financial Protection Bureau v. Community Financial Services Association of America, Ltd. on May 16, holding…more

Constitutional Challenges, Consumer Financial Protection Bureau (CFPB), Dodd-Frank, Financial Services Industry, SCOTUS

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Financial Markets and Funds Quick Take | Issue 33

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds…more

Broker-Dealer, CFTC, EU, Financial Conduct Authority (FCA), Financial Industry Regulatory Authority (FINRA)

See all updates »

Tenth Circuit Court of Appeals Affirms Dismissal of Putative Securities Class Action Brought by Short Seller

On October 15, 2024, the United States Court of Appeals for the Tenth Circuit affirmed the dismissal of a putative securities class action against online retailer Overstock.com (“Overstock” or the “Company”) and certain of its…more

Class Action, Putative Class Actions, Rule 10b-5, Securities Exchange Act, Securities Litigation

See all updates »

Municipal Advisors and "Bank Purchase" Bonds: What's All the Commotion About?

There has been a renewed focus in recent months on how to determine which regulatory regimes apply to the various parties involved in private placements of municipal debt. The very public controversy over the question of whether…more

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Chicago United States Attorney's Office Launches Pilot Program to Encourage Self-Disclosure

On September 16, the US Attorney's Office for the Northern District of Illinois (NDIL) announced the launch of its Individual Self-Disclosure (ISD) Pilot Program. The program offers non-prosecution agreements to qualifying…more

Cooperation, Corporate Misconduct, Criminal Prosecution, Department of Justice (DOJ), Illinois

See all updates »

Privacy, Data and Cybersecurity Quick Clicks | Issue 18

Katten's Privacy, Data and Cybersecurity Quick Clicks is a monthly newsletter highlighting the latest news and legal developments involving privacy, data and cybersecurity issues across the globe…more

Cyber Attacks, Cyber Crimes, Cyber Threats, Cybersecurity, Data Breach

See all updates »

Tenth Circuit Court of Appeals Affirms Dismissal of Putative Securities Class Action Brought by Short Seller

On October 15, 2024, the United States Court of Appeals for the Tenth Circuit affirmed the dismissal of a putative securities class action against online retailer Overstock.com (“Overstock” or the “Company”) and certain of its…more

Class Action, Putative Class Actions, Rule 10b-5, Securities Exchange Act, Securities Litigation

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Penn State Prevails in Retro Logo Infringement Suit

The Nittany Lions are used to winning on the football field, but last week they also snagged a decisive victory in the courtroom. On November 19, a Pennsylvania jury determined that online retailer, Vintage Brand (“Vintage”),…more

Intellectual Property Protection, Trademark Infringement, Trademark Litigation, Trademarks

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Measure ULA – An Additional Transfer Tax on Real Estate Transfers

Measure ULA, also known as the Homelessness and Housing Solutions Tax (HHS Tax), and usually referred to as a "mansion tax," has been approved by voters. The measure creates a new tax on certain property transfers in the city of…more

California, City of Los Angeles, Commercial Real Estate Market, New Legislation, Real Estate Professionals

See all updates »

Financial Markets and Funds Quick Take | Issue 27

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds…more

CFTC, Data Protection, Economic Sanctions, EU, EU Data Protection Laws

See all updates »

Structured Finance Year in Review and the Outlook for 2021 | Key Takeaways

On December 8 and 10, Katten’s Structured Finance and Securitization Department presented the “Year in Review and Outlook for 2021” webinar series. Topics covered by Katten attorneys and guest speakers include the impact of the…more

Biden Administration, Coronavirus/COVID-19, EU, FDIC, FinTech

See all updates »

US Treasury Releases Final Regulations for $7,500 EV Tax Credit, Maintains Exclusions for Foreign Entities of Concern

On May 3, the US Treasury Department (Treasury) released final regulations under Section 30D of the Internal Revenue Code. The Section 30D regulations provide guidance for the up to $7,500 electric vehicle (EV) tax credit…more

Automotive Industry, Batteries, Electric Vehicles, Internal Revenue Code (IRC), Tax Credits

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Key Takeaways From the Carried Interest Proposed Regulations

Under current (post-2017) federal income tax law, long-term capital gain allocated to or realized by a non-corporate recipient of a promote or other performance-based allocation (a "Carried Interest") in the investment…more

Business Assets, Business Taxes, C-Corporation, Capital Gains, Carried Interest

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2024 Year-End Estate Planning Advisory

This year was busy for trusts and estates practitioners. With 2025 marking the final year of the Tax Cuts and Jobs Act (TCJA), many of its implications for federal corporate and individual income tax, gift, estate and…more

Estate Planning, Estate Tax, Estate-Tax Exemption, Generation-Skipping Transfer, Gift Tax

See all updates »

2023 Year-End Estate Planning Advisory

We have certainly had our share of turbulent waters in the estate planning world from 2020-2022. With two significant elections, it is hard to remember a previous time with such substantial uncertainty about how tax planning and…more

Estate Planning, Estate Tax, Estate-Tax Exemption, Gift Tax, Gift-Tax Exemption

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The Balance Between Obviousness and Written Description — Lessons Learned from Recent Decisions

Key Points - - Summarizes the Federal Circuit case of Nuvo Pharms. v. Dr. Reddy’s Labs., in which the Federal Circuit invalidated Nuvo Pharmaceuticals’ patent, holding that Nuvo’s disclosure of the drug’s effectiveness was…more

Corporate Counsel, Intellectual Property Litigation, Intellectual Property Protection, Patents

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Hydrochloric Acid, Sewage Backup, and the Use of Independent Contractors

A federal court in West Virginia has ruled – in case you had any doubts – that using an independent contractor to transport your product may not protect you from the exposure when 1,728 gallons of your hydrochloric acid floods a…more

Commercial Litigation, Independent Contractors, Summary Judgment, Trucking Accident

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Measure ULA – An Additional Transfer Tax on Real Estate Transfers

Measure ULA, also known as the Homelessness and Housing Solutions Tax (HHS Tax), and usually referred to as a "mansion tax," has been approved by voters. The measure creates a new tax on certain property transfers in the city of…more

California, City of Los Angeles, Commercial Real Estate Market, New Legislation, Real Estate Professionals

See all updates »

M&A, Joint Ventures and Private Equity in Health Care: 2022 Deal Trends in Review

The health care mergers and acquisitions (M&A) market continues to be a private equity draw, with investors making significant investments in standalone platforms and platform add-on transactions. Also at the fore are strategic…more

Acquisitions, Capital Markets, Healthcare, Investment, Investors

See all updates »

2024 Year-End Estate Planning Advisory

This year was busy for trusts and estates practitioners. With 2025 marking the final year of the Tax Cuts and Jobs Act (TCJA), many of its implications for federal corporate and individual income tax, gift, estate and…more

Estate Planning, Estate Tax, Estate-Tax Exemption, Generation-Skipping Transfer, Gift Tax

See all updates »

District Court Denies Distressed Funds the Right to Vote on Bankruptcy Plan

The US District Court for the Western District of Washington (the "District Court") recently affirmed a bankruptcy court decision that prohibited a transferee of a secured lender's interest in a loan from voting on a debtor's…more

Assignees, Commercial Bankruptcy, Debt, Lenders, Loan Agreements

See all updates »

2024 Year-End Estate Planning Advisory

This year was busy for trusts and estates practitioners. With 2025 marking the final year of the Tax Cuts and Jobs Act (TCJA), many of its implications for federal corporate and individual income tax, gift, estate and…more

Estate Planning, Estate Tax, Estate-Tax Exemption, Generation-Skipping Transfer, Gift Tax

See all updates »

2024 Year-End Estate Planning Advisory

This year was busy for trusts and estates practitioners. With 2025 marking the final year of the Tax Cuts and Jobs Act (TCJA), many of its implications for federal corporate and individual income tax, gift, estate and…more

Estate Planning, Estate Tax, Estate-Tax Exemption, Generation-Skipping Transfer, Gift Tax

See all updates »

Katten Financial Markets and Funds Quick Take | Issue 15

Four Key Considerations Since SEC Amended Form PF - In early May, the Securities and Exchange Commission (SEC) adopted a final rule amending Form PF, the confidential reporting form for certain SEC-registered investment…more

Biometric Information Privacy Act, CFTC, Climate Change, Crypto Exchanges, Cryptoassets

See all updates »

Chicago City Council Authorizes Housing Department Loan Restructurings

On September 19, the Chicago City Council amended the city's municipal code to give the housing commissioner new wide-ranging authority to restructure affordable housing loans and grants. The commissioner is now empowered to:…more

Affordable Housing, City Councils, City of Chicago, Community Development, Housing Developers

See all updates »

SEC Division of Examinations Highlights Common Deficiencies in Registered Investment Company Core Examination Areas

On November 4, the Securities and Exchange Commission's (SEC) Division of Examinations (Division) published an analysis of the most common deficiencies identified across its three core registered investment company (RIC)…more

Compliance, Corporate Governance, Disclosure, Disclosure Requirements, Policies and Procedures

See all updates »

Financial Markets and Funds Quick Take | Issue 33

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds…more

Broker-Dealer, CFTC, EU, Financial Conduct Authority (FCA), Financial Industry Regulatory Authority (FINRA)

See all updates »

ESG Guidepost | Issue 18

Katten ESG Guidepost is a monthly publication highlighting the latest news, legal and regulatory developments involving environmental, social and governance matters…more

Corporate Social Responsibility, Environmental Social & Governance (ESG), Federal Trade Commission (FTC), FinCEN, Reporting Requirements

See all updates »

Corporate & Financial Weekly Digest, Featuring Topics on SEC/Corporate, Derivatives, CFTC, Digital Assets and Virtual Currencies, Brexit, UK and EU Developments

SEC/CORPORATE - SEC Division of Corporation Finance Issues C&DIs Regarding Notices of Exempt Solicitation - On July 31, the staff of the Division of Corporation Finance (the Staff) of the Securities and Exchange Commission…more

Board of Directors, C&DIs, Corporate Governance, Derivatives Clearing Organizations, EU

See all updates »

CMS Issues Draft Guidance for Hospital Co-Location

On May 3, CMS issued a draft letter to State Survey Agency Directors regarding "Guidance for Hospital Co-location with Other Hospitals or Healthcare Facilities" ("Guidance") that is intended to provide clarity on how CMS/State…more

Centers for Medicare & Medicaid Services (CMS), Comment Period, Draft Guidance, EMTALA, Health Care Providers

See all updates »

Tax Implications of LIBOR Reform

LIBOR (London Interbank Offered Rate) is a set of interest rate benchmarks based on the rates at which banks are willing to borrow wholesale-unsecured funds. It is used in numerous financial instruments such as loans,…more

Banking Sector, Benchmarks, Derivatives, Financial Conduct Authority (FCA), Interest Rates

See all updates »

DOJ Announces Another COVID-19 Healthcare Fraud Takedown

DOJ Announces Another COVID-19 Healthcare Fraud Takedown - As we predicted last month, the Department of Justice (DOJ) has continued to prioritize COVID-19 fraud enforcement by utilizing its new task forces and newly…more

Coronavirus/COVID-19, Department of Justice (DOJ), Federal Contractors, Healthcare Fraud, HRSA

See all updates »

2024 Year-End Estate Planning Advisory

This year was busy for trusts and estates practitioners. With 2025 marking the final year of the Tax Cuts and Jobs Act (TCJA), many of its implications for federal corporate and individual income tax, gift, estate and…more

Estate Planning, Estate Tax, Estate-Tax Exemption, Generation-Skipping Transfer, Gift Tax

See all updates »

SBA Consent Requirements for M&A Transactions with PPP Loans

On March 27, President Trump signed the Coronavirus Aid, Relief and Economic Security Act (CARES Act) which established, among other things, the Paycheck Protection Program (PPP). Under the PPP, the SBA guaranteed loans (PPP…more

Acquisitions, CARES Act, Coronavirus/COVID-19, Mergers, Paycheck Protection Program (PPP)

See all updates »

Financial Markets and Funds Quick Take | Issue 11

SEC Announces Inspection Priorities for 2023 - On February 7, the Securities and Exchange Commission (SEC) announced its inspection priorities for the current year. The announcement began by noting that the SEC examined 15…more

Broker-Dealer, Disclosure Requirements, Enforcement Actions, Environmental Social & Governance (ESG), Fiduciary Duty

See all updates »

Financial Markets and Funds Quick Take | Issue 30

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds…more

CFTC, Cryptoassets, Digital Assets, EU, Final Rules

See all updates »

Kroger/Albertsons Ruling Provides Lessons for Merger Remedy Divestitures

On December 10, a federal court in Oregon issued a preliminary injunction against Kroger's proposed $24.6 billion acquisition of Albertsons, which would have been the largest supermarket merger in US history (Albertsons…more

Albertsons, Antitrust Provisions, Competition, Corporate Counsel, Corporate Sales Transactions

See all updates »

Filling the Seats for Stadium Financings

COVID-19 has materially impacted arena and stadium financings. How have professional sports leagues been able to form bubbles in spite of contractual obligations of teams to play home games at their home venues? Are there…more

Coronavirus/COVID-19, Entertainment Industry, Event Cancellation, Infectious Diseases, Public Health

See all updates »

ESG Guidepost | Issue 14

Katten ESG Guidepost is a monthly publication highlighting the latest news, legal and regulatory developments involving environmental, social and governance matters…more

Climate Change, Corporate Social Responsibility, Department of Justice (DOJ), Department of Labor (DOL), Environmental Social & Governance (ESG)

See all updates »

2024 Year-End Estate Planning Advisory

This year was busy for trusts and estates practitioners. With 2025 marking the final year of the Tax Cuts and Jobs Act (TCJA), many of its implications for federal corporate and individual income tax, gift, estate and…more

Estate Planning, Estate Tax, Estate-Tax Exemption, Generation-Skipping Transfer, Gift Tax

See all updates »

UK Crown Preference Returns – Creditors Beware!

In the 2018 Autumn Budget, the Chancellor announced his intention to reintroduce Crown Preference with effect from 6 April 2020. Due to the attempts to prorogue Parliament and the General Election last year, the necessary…more

Crown Preference, Proposed Legislation, Tax Debt, UK

See all updates »

Consumer Finance – Quick Takes on Potential Changes Under the New Trump Administration

Pundits and pontificators have been looking for any sign or indication as to how (and when) the new Trump administration will come into shape with respect to the consumer financial services sector. While only broad outlines of a…more

Consumer Financial Products, Consumer Financial Protection Bureau (CFPB), Consumer Lenders, Financial Institutions, Financial Regulatory Reform

See all updates »

SEC Swaps the Game: New Rules to Combat Fraud, Manipulation and CCO Undue Influence

The Securities Exchange Commission (SEC) adopted two new rules on June 7 aimed at preventing fraud and manipulation specific to security-based swap (SBS) transactions and the entities that trade them, including a unique rule…more

Securities Act of 1933, Securities and Exchange Commission (SEC), Securities Exchange Act of 1934, Securities Fraud, Security-Based Swaps

See all updates »

Basel III Endgame: Will Banks Have to Increase Their Capital Requirements?

On Tuesday, September 10, the Federal Reserve announced a reproposal of the much discussed and awaited Basel III Endgame. However, before we dive into the reproposal, it is important to take a step back and look at how we got…more

Banks, Basel III, Capital Requirements, FDIC, Federal Reserve

See all updates »

Q&A – FTC Rule Banning Non-Competes With Workers

On April 23, the Federal Trade Commission (FTC) voted 3-2 to approve a Final Rule (the Final Rule) that, if allowed to take effect, would ban nearly all non-competes with employees and other workers and substantially change the…more

Anti-Competitive, Competition, Employer Liability Issues, Employment Contract, Federal Trade Commission (FTC)

See all updates »

Breaking News: Federal District Court Halts Corporate Transparency Act Enforcement Nationwide

This Corporate Advisory provides a brief update on recent litigation regarding the Corporate Transparency Act (CTA) and its reporting requirements. It is not intended to, and does not, provide legal, compliance or other advice…more

Anti-Corruption, Anti-Money Laundering, Beneficial Owner, Corporate Transparency Act, Financial Crimes

See all updates »

ESG Guidepost | Issue 15

Katten ESG Guidepost is a monthly publication highlighting the latest news, legal and regulatory developments involving environmental, social and governance matters…more

Artificial Intelligence, Canada, CFTC, Corporate Social Responsibility, Cybersecurity

See all updates »

Texas (Business) Courts to Open for Business: Law Creating Specialized Business Courts in Texas Becomes Official

Last Friday, June 9, Texas Governor Greg Abbott signed Texas House Bill 19, which codifies a business court system in Texas. Similar to the commercial court systems that exist in Delaware and New York, Texas's business court…more

Business Court, Business Disputes, Business Litigation, C-Suite Executives, Corporate Officers

See all updates »

Penn State Prevails in Retro Logo Infringement Suit

The Nittany Lions are used to winning on the football field, but last week they also snagged a decisive victory in the courtroom. On November 19, a Pennsylvania jury determined that online retailer, Vintage Brand (“Vintage”),…more

Intellectual Property Protection, Trademark Infringement, Trademark Litigation, Trademarks

See all updates »

In re Tribune Co.: Allowance of Post-Petition Indenture Trustees Fees as Unsecured Claim

In a brief but significant opinion, the United States District Court for the District of Delaware reversed a decision by the United States Bankruptcy Court for the District of Delaware and allowed more than $30 million in…more

Appeals, Attorney's Fees, Bankruptcy Code, Bankruptcy Plans, Commercial Bankruptcy

See all updates »

UK Financial Insights from Katten | Issue 17

UK Financial Insights from Katten is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds in the UK and Europe…more

Banking Sector, EU, Financial Conduct Authority (FCA), Financial Institutions, Financial Regulatory Reform

See all updates »

US Treasury Releases Final Regulations for $7,500 EV Tax Credit, Maintains Exclusions for Foreign Entities of Concern

On May 3, the US Treasury Department (Treasury) released final regulations under Section 30D of the Internal Revenue Code. The Section 30D regulations provide guidance for the up to $7,500 electric vehicle (EV) tax credit…more

Automotive Industry, Batteries, Electric Vehicles, Internal Revenue Code (IRC), Tax Credits

See all updates »

2024 Year-End Estate Planning Advisory

This year was busy for trusts and estates practitioners. With 2025 marking the final year of the Tax Cuts and Jobs Act (TCJA), many of its implications for federal corporate and individual income tax, gift, estate and…more

Estate Planning, Estate Tax, Estate-Tax Exemption, Generation-Skipping Transfer, Gift Tax

See all updates »

UK Financial Insights from Katten | Issue 9

UK Financial Insights from Katten is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds in the UK and Europe…more

Banking Sector, Banks, Digital Assets, EU, Financial Conduct Authority (FCA)

See all updates »

Court Finds That Payment on Aircraft Lease Security Deposit Letters of Credit Would Not Have Violated the United Kingdom's Sanctions Against Russia

Key Points - - A court in London has ruled that the London branch of a German bank, which had issued confirmations of letters of credit issued by a Russian bank as security provided by Russian airlines for leases of aircraft,…more

Aircraft, Economic Sanctions, Export Controls, Financial Transactions, Foreign Policy

See all updates »

2024 Year-End Estate Planning Advisory

This year was busy for trusts and estates practitioners. With 2025 marking the final year of the Tax Cuts and Jobs Act (TCJA), many of its implications for federal corporate and individual income tax, gift, estate and…more

Estate Planning, Estate Tax, Estate-Tax Exemption, Generation-Skipping Transfer, Gift Tax

See all updates »

Kattison Avenue | Issue 13

Kattison Avenue examines the latest topics in advertising law affecting today's advertisers, advertising and promotions agencies, technology developers, content producers and entertainment companies…more

Advertising, False Advertising, Keyword Search, Likelihood of Confusion, Marketing

See all updates »

Insights into the Latest Treasury and IRS Proposed Regulations on Excise Tax for Corporate Stock Repurchases

On April 12, 2024, the Department of the Treasury and the IRS published proposed regulations regarding the application of the stock repurchase excise tax under § 4501 of the Internal Revenue Code (the “Proposed Regulations”)…more

Excise Tax, IRS, Proposed Regulation, Share Buybacks, Stock Repurchases

See all updates »

Mallory v. Norfolk Southern Railway Co.: Supreme Court Recognizes Existence of Consent-Based Theory of General Personal Jurisdiction

The US Supreme Court recently issued a decision in Mallory v. Norfolk Southern Railway Co holding that a Pennsylvania statute requiring corporations to "consent" to suit in Pennsylvania courts in order to register to do business…more

Commerce Clause, Constitutional Challenges, Due Process, Foreign Corporations, Fourteenth Amendment

See all updates »

Financial Markets and Funds Quick Take | Issue 19

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds…more

CFTC, Corporate Transparency Act, Cryptoassets, Cryptocurrency, Digital Assets

See all updates »

2024 Year-End Estate Planning Advisory

This year was busy for trusts and estates practitioners. With 2025 marking the final year of the Tax Cuts and Jobs Act (TCJA), many of its implications for federal corporate and individual income tax, gift, estate and…more

Estate Planning, Estate Tax, Estate-Tax Exemption, Generation-Skipping Transfer, Gift Tax

See all updates »

Financial Markets and Funds Quick Take | Issue 33

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds…more

Broker-Dealer, CFTC, EU, Financial Conduct Authority (FCA), Financial Industry Regulatory Authority (FINRA)

See all updates »

2024 Year-End Estate Planning Advisory

This year was busy for trusts and estates practitioners. With 2025 marking the final year of the Tax Cuts and Jobs Act (TCJA), many of its implications for federal corporate and individual income tax, gift, estate and…more

Estate Planning, Estate Tax, Estate-Tax Exemption, Generation-Skipping Transfer, Gift Tax

See all updates »

ESG Guidepost | Issue 19

Katten ESG Guidepost is a monthly publication highlighting the latest news, legal and regulatory developments involving environmental, social and governance matters…more

Airlines, Artificial Intelligence, Carbon Emissions, CFTC, Climate Change

See all updates »

The Katten Kattwalk | Issue 21

SCOTUS Confirms Willful Infringement Not Required to Award Trademark Profits - On April 23, the United States Supreme Court unanimously ruled that a plaintiff can win a profits remedy without showing that the defendant…more

Coronavirus/COVID-19, Fashion Branding, Fashion Design, Fashion Industry, Force Majeure Clause

See all updates »

Fifth Circuit Strikes Down Board Diversity Rules in En Banc Decision

In a 9-8 en banc decision, the U.S. Court of Appeals for the Fifth Circuit blocked the Nasdaq board diversity rules, ruling that the U.S. Securities and Exchange Commission (SEC) lacked the authority to approve the rules…more

Board of Directors, Corporate Governance, Diversity, Publicly-Traded Companies, Securities and Exchange Commission (SEC)

See all updates »

English Law Creditors Bound by Irish Scheme of Arrangement

In a radical departure from settled case law, the English High Court has eroded the protections of English law creditors guaranteed by the Rule in Gibbs…more

Corporate Restructuring, Creditors, Debt Restructuring, Debtors, Insolvency

See all updates »

US Supreme Court Adds to District Court's Ability to Award Enhanced Patent Damages

On June 13, the US Supreme Court handed down an important unanimous decision relaxing the standard for an award of enhanced patent damages under 35 U.S.C. § 284. See Halo Electronics, Inc. v. Pulse Electronics, Inc., 579 U.S…more

35 U.S.C. § 284, Enhanced Damages, Halo v Pulse, Judicial Discretion, Patent Infringement

See all updates »

UPDATE: Proposed Taxes on Mezzanine and Preferred Equity Financing Resurface in New York Legislature

Key Points - - New York lawmakers have reintroduced legislation that, if adopted into law, would make mezzanine and preferred equity financing subject to the mortgage recording tax. - The legislation would also require…more

Debt-Equity, Equity Financing, Legislative Agendas, Mezzanine Lenders, Mortgages

See all updates »

SCOTUS Resolves New (Fourth) Layer of Arbitration Contract Disputes

The Supreme Court gave us another arbitration decision yesterday (May 23rd)—the second in the span of a week. This one is Coinbase v. Suski, which poses the following question: “Where parties have agreed to two contracts — one…more

Arbitration, Arbitration Agreements, Coinbase, Motion to Compel, SCOTUS

See all updates »

Privacy, Data and Cybersecurity Quick Clicks | Issue 16

Katten's Privacy, Data and Cybersecurity Quick Clicks is a monthly newsletter highlighting the latest news and legal developments involving privacy, data and cybersecurity issues across the globe…more

Artificial Intelligence, China, Cross-Border Transactions, Cybersecurity, Data Privacy

See all updates »

UK Financial Insights from Katten | Issue 17

UK Financial Insights from Katten is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds in the UK and Europe…more

Banking Sector, EU, Financial Conduct Authority (FCA), Financial Institutions, Financial Regulatory Reform

See all updates »

Financial Markets and Funds Quick Take | Issue 18

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds…more

Biden Administration, Bitcoin, Blockchain, China, Cryptoassets

See all updates »

Basel III Endgame: Will Banks Have to Increase Their Capital Requirements?

On Tuesday, September 10, the Federal Reserve announced a reproposal of the much discussed and awaited Basel III Endgame. However, before we dive into the reproposal, it is important to take a step back and look at how we got…more

Banks, Basel III, Capital Requirements, FDIC, Federal Reserve

See all updates »

2021 PRIVATE CREDIT SURVEY REPORT - Despite Private Credit’s Sunny Outlook, Questions Emerge About Lender/Investor Congeniality, LIBOR

In February, Katten conducted a survey of 112 private credit industry professionals that showed how a large percentage of private equity investors and lenders in the private credit industry expect deal flow to increase in 2021…more

Banking Sector, Financial Institutions, Financial Markets, Interest Rates, Lenders

See all updates »

Breaking News: Federal District Court Halts Corporate Transparency Act Enforcement Nationwide

This Corporate Advisory provides a brief update on recent litigation regarding the Corporate Transparency Act (CTA) and its reporting requirements. It is not intended to, and does not, provide legal, compliance or other advice…more

Anti-Corruption, Anti-Money Laundering, Beneficial Owner, Corporate Transparency Act, Financial Crimes

See all updates »

English Law Creditors Bound by Irish Scheme of Arrangement

In a radical departure from settled case law, the English High Court has eroded the protections of English law creditors guaranteed by the Rule in Gibbs…more

Corporate Restructuring, Creditors, Debt Restructuring, Debtors, Insolvency

See all updates »

2024 Year-End Estate Planning Advisory

This year was busy for trusts and estates practitioners. With 2025 marking the final year of the Tax Cuts and Jobs Act (TCJA), many of its implications for federal corporate and individual income tax, gift, estate and…more

Estate Planning, Estate Tax, Estate-Tax Exemption, Generation-Skipping Transfer, Gift Tax

See all updates »

ESG Guidepost | Issue 1

Welcome to the inaugural issue of Katten ESG Guidepost. Each month, ESG Guidepost will highlight the latest news, legal and regulatory developments involving environmental, social and governance matters. …more

Biden Administration, Carbon Emissions, Department of Labor (DOL), Environmental Social & Governance (ESG), Fashion Industry

See all updates »

Financial Products and Services and Bot-to-Bot Communications: What the Future Holds for Customers and Providers

Money 20/20 has come to a close in Las Vegas. What is usually a leading industry conference predominantly focused on consumer and commercial payments markedly "pivoted" this year. Specifically, in what can likely be attributed…more

Banking Sector, Banks, Capital Markets, Consumer Financial Protection Bureau (CFPB), Financial Institutions

See all updates »

2024 Year-End Estate Planning Advisory

This year was busy for trusts and estates practitioners. With 2025 marking the final year of the Tax Cuts and Jobs Act (TCJA), many of its implications for federal corporate and individual income tax, gift, estate and…more

Estate Planning, Estate Tax, Estate-Tax Exemption, Generation-Skipping Transfer, Gift Tax

See all updates »

Coronavirus (COVID-19) Federal and New York Health Care Primary Legal Sources - April 2020

A note from Katten’s Health Care team to our friends and colleagues - Our work involving the health care law of COVID-19 has necessarily involved a large body of “new law” and new resources. Katten’s health care attorneys…more

Coronavirus/COVID-19, Paycheck Protection Program (PPP), Relief Measures

See all updates »

2024 Year-End Estate Planning Advisory

This year was busy for trusts and estates practitioners. With 2025 marking the final year of the Tax Cuts and Jobs Act (TCJA), many of its implications for federal corporate and individual income tax, gift, estate and…more

Estate Planning, Estate Tax, Estate-Tax Exemption, Generation-Skipping Transfer, Gift Tax

See all updates »

2024 Year-End Estate Planning Advisory

This year was busy for trusts and estates practitioners. With 2025 marking the final year of the Tax Cuts and Jobs Act (TCJA), many of its implications for federal corporate and individual income tax, gift, estate and…more

Estate Planning, Estate Tax, Estate-Tax Exemption, Generation-Skipping Transfer, Gift Tax

See all updates »

US Treasury Releases Final Regulations for $7,500 EV Tax Credit, Maintains Exclusions for Foreign Entities of Concern

On May 3, the US Treasury Department (Treasury) released final regulations under Section 30D of the Internal Revenue Code. The Section 30D regulations provide guidance for the up to $7,500 electric vehicle (EV) tax credit…more

Automotive Industry, Batteries, Electric Vehicles, Internal Revenue Code (IRC), Tax Credits

See all updates »

FINRA Settles First Significant CAT Reporting Enforcement Action

On August 16, Instinet, LLC (Instinet or the Firm) agreed to pay a $3.8 million fine to settle an enforcement action with the Financial Industry Regulatory Authority (FINRA) regarding its alleged failure to comply with certain…more

Broker-Dealer, Consolidated Audit Trail, Enforcement Actions, Financial Industry Regulatory Authority (FINRA), Financial Institutions

See all updates »

Financial Markets and Funds Quick Take | Issue 33

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds…more

Broker-Dealer, CFTC, EU, Financial Conduct Authority (FCA), Financial Industry Regulatory Authority (FINRA)

See all updates »

Financial Markets and Funds Quick Take | Issue 10

Katten Named Leader in Blockchain and Cryptocurrency in Chambers FinTech 2023 Guide - Katten announced that the firm had attained a superior ranking in the Chambers FinTech 2023 guide. Katten was recognized as a leader in the…more

Blockchain, Broker-Dealer, Cryptocurrency, Digital Assets, Electronic Records

See all updates »

Financial Markets and Funds Quick Take | Issue 33

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds…more

Broker-Dealer, CFTC, EU, Financial Conduct Authority (FCA), Financial Industry Regulatory Authority (FINRA)

See all updates »

See Katten's Model Clawback Policy as Mandatory Rules Take Effect

As we previously noted, the Securities and Exchange Commission (SEC) adopted long-delayed rules on October 26, 2022, which will require companies to implement mandatory "clawback" policies with respect to incentive-based…more

Clawbacks, Corporate Governance, Corporate Officers, Disclosure Requirements, Dodd-Frank

See all updates »

2024 Year-End Estate Planning Advisory

This year was busy for trusts and estates practitioners. With 2025 marking the final year of the Tax Cuts and Jobs Act (TCJA), many of its implications for federal corporate and individual income tax, gift, estate and…more

Estate Planning, Estate Tax, Estate-Tax Exemption, Generation-Skipping Transfer, Gift Tax

See all updates »

Bitnomial Exchange Sues SEC, Challenging Agency's Authority Over XRP Futures

Bitnomial Exchange, LLC (Bitnomial), a designated contract market (DCM) registered with the Commodity Futures Trading Commission (CFTC), has launched a legal offensive against the US Securities and Exchange Commission (SEC),…more

Blockchain, CFTC, Crypto Exchanges, Cryptocurrency, Digital Assets

See all updates »

Q&A – FTC Rule Banning Non-Competes With Workers

On April 23, the Federal Trade Commission (FTC) voted 3-2 to approve a Final Rule (the Final Rule) that, if allowed to take effect, would ban nearly all non-competes with employees and other workers and substantially change the…more

Anti-Competitive, Competition, Employer Liability Issues, Employment Contract, Federal Trade Commission (FTC)

See all updates »

Fifth Circuit Declines to Reconsider Opinion that In-House SEC Enforcement Actions are Unconstitutional

Earlier this year in Jarkesy v. SEC, a split panel of the Fifth Circuit Court of Appeals ruled that the Constitution prohibits in-house Securities and Exchange Commission (SEC) adjudication of securities law violations. 34 F…more

Administrative Proceedings, Constitutional Challenges, Enforcement Actions, Securities and Exchange Commission (SEC), Securities Violations

See all updates »

Breaking News: Federal District Court Halts Corporate Transparency Act Enforcement Nationwide

This Corporate Advisory provides a brief update on recent litigation regarding the Corporate Transparency Act (CTA) and its reporting requirements. It is not intended to, and does not, provide legal, compliance or other advice…more

Anti-Corruption, Anti-Money Laundering, Beneficial Owner, Corporate Transparency Act, Financial Crimes

See all updates »

2024 Year-End Estate Planning: Important Planning Considerations for 2024 and 2025

The "big ticket" item of the Tax Cuts and Jobs Act (TCJA) is the significant increase to the lifetime gift, estate and generation-skipping tax (GST) tax exemptions. Under the TCJA, the exemptions were increased from $5 million…more

Beneficiaries, Capital Gains Tax, Estate Planning, Estate Tax, Estate-Tax Exemption

See all updates »

Financial Markets and Funds Quick Take | Issue 33

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds…more

Broker-Dealer, CFTC, EU, Financial Conduct Authority (FCA), Financial Industry Regulatory Authority (FINRA)

See all updates »

Penn State Prevails in Retro Logo Infringement Suit

The Nittany Lions are used to winning on the football field, but last week they also snagged a decisive victory in the courtroom. On November 19, a Pennsylvania jury determined that online retailer, Vintage Brand (“Vintage”),…more

Intellectual Property Protection, Trademark Infringement, Trademark Litigation, Trademarks

See all updates »

Corporate and Financial Weekly Digest - Volume XI, Issue 43

SEC/CORPORATE - SEC Proposes Amendments To Require Universal Proxy Cards in Contested Elections - On October 26, the Securities and Exchange Commission voted to propose amendments to the proxy rules that would require…more

Canada, Institutional Shareholder Services (ISS), Memorandum of Understanding, No-Action Relief, Proxy Access

See all updates »

2021 PRIVATE CREDIT SURVEY REPORT - Despite Private Credit’s Sunny Outlook, Questions Emerge About Lender/Investor Congeniality, LIBOR

In February, Katten conducted a survey of 112 private credit industry professionals that showed how a large percentage of private equity investors and lenders in the private credit industry expect deal flow to increase in 2021…more

Banking Sector, Financial Institutions, Financial Markets, Interest Rates, Lenders

See all updates »

UK Financial Insights from Katten | Issue 17

UK Financial Insights from Katten is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds in the UK and Europe…more

Banking Sector, EU, Financial Conduct Authority (FCA), Financial Institutions, Financial Regulatory Reform

See all updates »

Four Things to Know About Family Office Compensation and Talent

In an increasingly competitive market for sophisticated and experienced professional and investment talent, family offices are seeking and applying new approaches to attract and retain top level executives. Transactional Tax…more

Business Strategies, Compensation & Benefits, Employee Benefits, Employee Retention, Family Offices

See all updates »

2024 Year-End Estate Planning Advisory

This year was busy for trusts and estates practitioners. With 2025 marking the final year of the Tax Cuts and Jobs Act (TCJA), many of its implications for federal corporate and individual income tax, gift, estate and…more

Estate Planning, Estate Tax, Estate-Tax Exemption, Generation-Skipping Transfer, Gift Tax

See all updates »

UK Financial Insights from Katten | Issue 17

UK Financial Insights from Katten is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds in the UK and Europe…more

Banking Sector, EU, Financial Conduct Authority (FCA), Financial Institutions, Financial Regulatory Reform

See all updates »

2024 Year-End Estate Planning Advisory

This year was busy for trusts and estates practitioners. With 2025 marking the final year of the Tax Cuts and Jobs Act (TCJA), many of its implications for federal corporate and individual income tax, gift, estate and…more

Estate Planning, Estate Tax, Estate-Tax Exemption, Generation-Skipping Transfer, Gift Tax

See all updates »

New Texas Medical Billing Requirements can Leave Hospitals and Other Health Care Facilities Unable to Collect for Services Provided

Starting September 1, 2023, health care facilities in Texas will have to make changes to their billing practices to comply with a newly passed law requiring greater transparency in medical billing as a result of Texas Governor…more

Health Care Providers, Healthcare Facilities, Hospitals, Medical Bills, Texas

See all updates »

To Record or Not to Record a Mortgage Modification, That Is the Question

A common, and a venerable, question when modifying a mortgage loan — should the mortgage lender record the modification of the mortgage in the land records?…more

Borrowers, Financial Institutions, Financial Services Industry, Lenders, Mortgage Lenders

See all updates »

ESG Guidepost | Issue 4

Katten ESG Guidepost is a monthly publication highlighting the latest news, legal and regulatory developments involving environmental, social and governance matters…more

Acquisitions, Affirmative Action, Cryptocurrency, Diversity and Inclusion Standards (D&I), Employer Liability Issues

See all updates »

The Expiration of California COVID-19 Supplemental Paid Sick Leave

The California State 2022 COVID-19 Supplemental Paid Sick Leave (SB 114) expired on December 31, 2022. The law, which applied retroactively to January 1, 2022, was extended by Gov. Gavin Newsom from September 30 to December 31,…more

California, Coronavirus/COVID-19, Employer Responsibilities, Human Resources Professionals, Labor Reform

See all updates »

Force Majeure: A Practical Perspective for Commercial Relationships

In the wake of the COVID-19 pandemic, businesses are increasingly considering whether force majeure clauses, a common provision that can excuse a party from having to fulfill contractual obligations when unforeseeable…more

Business Interruption, Coronavirus/COVID-19, Force Majeure Clause

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Navigating the Regulatory Landscape – SEC Adopts New Rules Requiring Increased Disclosure on Stock Buybacks – Including Quarterly Reporting of Daily Repurchase Activity

On May 3, 2023, by a 3-2 vote, the Securities and Exchange Commission (SEC) adopted amendments to disclosure rules (the “new buyback disclosure rules”) relating to repurchases of equity securities by issuers (or repurchases on…more

Disclosure, Disclosure Requirements, Repurchase Agreements, Repurchases, Securities

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A Post-Budget Review of the UK Tax Landscape for Non-Doms and Family Offices

During Katten's recent tax planning seminar, a panel of leading experts analysed the impact of the Autumn Budget 2024 (Budget) on the United Kingdom's non-dom tax regime — specifically related to family offices and foreign…more

Corporate Taxes, Family Offices, Federal Budget, Foreign Workers, HMRC

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SEC Comment Period Ends for Controversial Proposal Regarding Clawbacks of Executive Incentive Compensation Without Official Action

On October 14, Chairman Gensler announced that the Securities and Exchange Commission (SEC) would reopen the comment period for the controversial compensation clawback rule that it had initially proposed in 2015 in response to…more

Board of Directors, Clawbacks, Comment Period, Corporate Officers, Disclosure Requirements

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Financial Markets and Funds Quick Take | Issue 33

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds…more

Broker-Dealer, CFTC, EU, Financial Conduct Authority (FCA), Financial Industry Regulatory Authority (FINRA)

See all updates »

ESG Guidepost | Issue 19

Katten ESG Guidepost is a monthly publication highlighting the latest news, legal and regulatory developments involving environmental, social and governance matters…more

Airlines, Artificial Intelligence, Carbon Emissions, CFTC, Climate Change

See all updates »

Sentencing Guidelines Amendment Prevents Judges From Considering Acquitted Conduct at Sentencing

Since the Supreme Court’s decision in United States v. Watts, 19 US 148 (1997), judges have been permitted to consider acquitted conduct when calculating a defendant’s sentencing guidelines range and determining their ultimate…more

Acquittals, Federal Sentencing Guidelines, SCOTUS, Sentencing

See all updates »

To Record or Not to Record a Mortgage Modification, That Is the Question

A common, and a venerable, question when modifying a mortgage loan — should the mortgage lender record the modification of the mortgage in the land records?…more

Borrowers, Financial Institutions, Financial Services Industry, Lenders, Mortgage Lenders

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Tackling the Unexecuted Damages Model Dilemma When Opposing Class Certification – Ninth Circuit Decision Offers Important Insights

Earlier this year, the Court of Appeals for the Ninth Circuit issued its decision in Lytle v. Nutramax Labs, Inc., finding that a class action plaintiff may rely on a model to demonstrate that damages are susceptible to common…more

Appeals, Class Action, Class Certification, Class Members, Federal Rules of Civil Procedure

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Tenth Circuit Court of Appeals Affirms Dismissal of Putative Securities Class Action Brought by Short Seller

On October 15, 2024, the United States Court of Appeals for the Tenth Circuit affirmed the dismissal of a putative securities class action against online retailer Overstock.com (“Overstock” or the “Company”) and certain of its…more

Class Action, Putative Class Actions, Rule 10b-5, Securities Exchange Act, Securities Litigation

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2024 Year-End Estate Planning Advisory

This year was busy for trusts and estates practitioners. With 2025 marking the final year of the Tax Cuts and Jobs Act (TCJA), many of its implications for federal corporate and individual income tax, gift, estate and…more

Estate Planning, Estate Tax, Estate-Tax Exemption, Generation-Skipping Transfer, Gift Tax

See all updates »

New York State Legislature Passes FY 2025 Budget, Including Significant Action on Housing

On April 20, 2024, after months of negotiations, the New York State Legislature enacted the state’s 2024-2025 Budget (Budget). The Budget represents the most significant state action on housing in several budget cycles and…more

Affordable Housing, Community Development, Legislative Agendas, Minimum Wage, Multi-Family Housing

See all updates »

Breaking News: Federal District Court Halts Corporate Transparency Act Enforcement Nationwide

This Corporate Advisory provides a brief update on recent litigation regarding the Corporate Transparency Act (CTA) and its reporting requirements. It is not intended to, and does not, provide legal, compliance or other advice…more

Anti-Corruption, Anti-Money Laundering, Beneficial Owner, Corporate Transparency Act, Financial Crimes

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Always in Style: Key Considerations in Buying and Selling Fashion Brands - Katten Kattwalk | Issue 28

While interest in buying and selling fashion brands and their associated business lines is constant, structuring and negotiating these opportunities is uniquely challenging. Here, we present key initial considerations for anyone…more

Fashion Branding, Fashion Design, Fashion Industry, Intellectual Property Protection, Trademark Infringement

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Financial Markets and Funds Quick Take | Issue 30

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds…more

CFTC, Cryptoassets, Digital Assets, EU, Final Rules

See all updates »

2024 Year-End Estate Planning Advisory

This year was busy for trusts and estates practitioners. With 2025 marking the final year of the Tax Cuts and Jobs Act (TCJA), many of its implications for federal corporate and individual income tax, gift, estate and…more

Estate Planning, Estate Tax, Estate-Tax Exemption, Generation-Skipping Transfer, Gift Tax

See all updates »

Court Finds That Payment on Aircraft Lease Security Deposit Letters of Credit Would Not Have Violated the United Kingdom's Sanctions Against Russia

Key Points - - A court in London has ruled that the London branch of a German bank, which had issued confirmations of letters of credit issued by a Russian bank as security provided by Russian airlines for leases of aircraft,…more

Aircraft, Economic Sanctions, Export Controls, Financial Transactions, Foreign Policy

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UK Financial Insights from Katten | Issue 15

UK Financial Insights from Katten is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds in the UK and Europe…more

American Recovery and Reinvestment Act, Cross-Border, Employer Liability Issues, EU, Financial Conduct Authority (FCA)

See all updates »

How Will Rising Interest Rates and Economic Uncertainty Impact Real Estate Industry in 2024?

Katten and Cushman & Wakefield have partnered to provide commercial real estate thought leaders with an opportunity to network and examine current factors impacting the industry during a January 25 event in Charlotte. Real…more

Commercial Leases, Commercial Property Owners, Commercial Real Estate Market, Commercial Tenants, Interest Rates

See all updates »

Privacy, Data and Cybersecurity Quick Clicks | Issue 14

Katten's Privacy, Data and Cybersecurity Quick Clicks is a monthly newsletter highlighting the latest news and legal developments involving privacy, data and cybersecurity issues across the globe…more

Artificial Intelligence, Consumer Privacy Rights, Cybersecurity, Data Collection, Data Privacy

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DeCoster Rehearing Denied—Food and Beverage Company Executives Face Risks of Prosecution as Responsible Corporate Officers

A recent Eighth Circuit decision that two corporate officers must serve jail time for failing to prevent the distribution of contaminated eggs despite the fact that they did not know the eggs were infected reaffirms continuing…more

Criminal Prosecution, Denial of Rehearing, Federal Food Drug and Cosmetic Act (FFDCA), Food Manufacturers, Responsible Corporate Officer Doctrine

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Financial Markets and Funds Quick Take | Issue 33

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds…more

Broker-Dealer, CFTC, EU, Financial Conduct Authority (FCA), Financial Industry Regulatory Authority (FINRA)

See all updates »

Kattison Avenue | Issue 13

Kattison Avenue examines the latest topics in advertising law affecting today's advertisers, advertising and promotions agencies, technology developers, content producers and entertainment companies…more

Advertising, False Advertising, Keyword Search, Likelihood of Confusion, Marketing

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From Paper to Practice: Questions to Evaluate the Real-World Impact of Your Compliance Program Under DOJ Guidelines

The Department of Justice (DOJ) and qui tam plaintiffs are pressing on with their pursuit of healthcare entities for False Claims Act cases and other enforcement actions. Having a compliance program that is effective in…more

Chief Compliance Officers, Compliance, Corporate Counsel, Department of Justice (DOJ), Enforcement Actions

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Breaking News: Federal District Court Halts Corporate Transparency Act Enforcement Nationwide

This Corporate Advisory provides a brief update on recent litigation regarding the Corporate Transparency Act (CTA) and its reporting requirements. It is not intended to, and does not, provide legal, compliance or other advice…more

Anti-Corruption, Anti-Money Laundering, Beneficial Owner, Corporate Transparency Act, Financial Crimes

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Stating the Obvious - Katten Kattwalk | Issue 28

The Federal Circuit overturned its 42-year-old obviousness test for designs. Fashion companies, take note. The shape of a handbag, the red sole of a shoe: for fashion companies, design patents have long played a role in…more

Design Patent, En Banc Review, Intellectual Property Litigation, Intellectual Property Protection, Obviousness

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UK Financial Insights from Katten | Issue 17

UK Financial Insights from Katten is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds in the UK and Europe…more

Banking Sector, EU, Financial Conduct Authority (FCA), Financial Institutions, Financial Regulatory Reform

See all updates »

Privacy, Data and Cybersecurity Quick Clicks | Issue 10

Katten's Privacy, Data and Cybersecurity Quick Clicks is a monthly newsletter highlighting the latest news and legal developments involving privacy, data and cybersecurity issues across the globe…more

Carbon Emissions, Cybersecurity, Data Privacy, Data Protection, Data Security

See all updates »

ESG Guidepost | Issue 2

President Biden's New Executive Order on Environmental Justice Broadly Expands Environmental Justice Requirements - The Biden Administration has issued Executive Order (EO) 14096: Revitalizing Our Nation's Commitment to…more

Biden Administration, Electric Vehicles, Environmental Policies, Environmental Social & Governance (ESG), Executive Orders

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2024 Year-End Estate Planning Advisory

This year was busy for trusts and estates practitioners. With 2025 marking the final year of the Tax Cuts and Jobs Act (TCJA), many of its implications for federal corporate and individual income tax, gift, estate and…more

Estate Planning, Estate Tax, Estate-Tax Exemption, Generation-Skipping Transfer, Gift Tax

See all updates »

ESG Guidepost | Issue 16

Katten ESG Guidepost is a monthly publication highlighting the latest news, legal and regulatory developments involving environmental, social and governance matters…more

Administrative Procedure Act, Chevron Deference, Cybersecurity, Environmental Social & Governance (ESG), Federal Trade Commission (FTC)

See all updates »

Municipal Advisors and "Bank Purchase" Bonds: What's All the Commotion About?

There has been a renewed focus in recent months on how to determine which regulatory regimes apply to the various parties involved in private placements of municipal debt. The very public controversy over the question of whether…more

See all updates »

New York State Legislature Passes FY 2025 Budget, Including Significant Action on Housing

On April 20, 2024, after months of negotiations, the New York State Legislature enacted the state’s 2024-2025 Budget (Budget). The Budget represents the most significant state action on housing in several budget cycles and…more

Affordable Housing, Community Development, Legislative Agendas, Minimum Wage, Multi-Family Housing

See all updates »

DOJ Details Its Bounty Program as New Corporate Whistleblower Program Rolls Out

After teasing the release of a new corporate whistleblower program in March 2024, Deputy Attorney General Lisa Monaco and Principal Deputy Assistant Attorney General Nicole M. Argentieri each took turns announcing on August 1…more

Corporate Crimes, Corporate Misconduct, Department of Justice (DOJ), Financial Institutions, Healthcare

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Corporate & Financial Weekly Digest, Featuring Articles on FINRA's 2021 Budget and Industry Spotlight and Dues Increases for NFA Member Swap Dealers and Major Swap Participants

BROKER-DEALER - 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…more

Broker-Dealer, CFTC, Compliance, Enforcement Actions, Financial Industry Regulatory Authority (FINRA)

See all updates »

New York State Legislature Passes FY 2025 Budget, Including Significant Action on Housing

On April 20, 2024, after months of negotiations, the New York State Legislature enacted the state’s 2024-2025 Budget (Budget). The Budget represents the most significant state action on housing in several budget cycles and…more

Affordable Housing, Community Development, Legislative Agendas, Minimum Wage, Multi-Family Housing

See all updates »

Privacy, Data and Cybersecurity Quick Clicks | Issue 12

Katten's Privacy, Data and Cybersecurity Quick Clicks is a monthly newsletter highlighting the latest news and legal developments involving privacy, data and cybersecurity issues across the globe…more

Artificial Intelligence, Cyber Attacks, Cyber Threats, Cybersecurity, Data Breach

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Recent NLRB Decision Impacts Employer Use of Non-Disparagement and Confidentiality Clauses

The National Labor Relations Board (NLRB) issued a recent decision that impacts the use of non-disparagement and confidentiality clauses in employee agreements. In the McLaren Macomb decision, the NLRB concluded that…more

Confidentiality Agreements, Employees, Employer Liability Issues, Employment Litigation, Employment Policies

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The Katten Kattwalk | Issue 09

The Katten Kattwalk discusses legal issues in the fashion industry affecting the trademarks, patents and copyrights associated with companies, brands and products. …more

Adidas, Class Action, Discount Pricing, Fashion Industry, Federal Trade Commission (FTC)

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COVID-19: Families First Coronavirus Response Act

Key Points - In the wake of the rapidly escalating coronavirus (COVID-19) pandemic, President Trump signed into law the Families First Coronavirus Response Act (H.R.6201). The wide-ranging legislation enacts a number of…more

Coronavirus/COVID-19, EFMLA, Employer Group Health Plans, EPSLA, Fair Labor Standards Act (FLSA)

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Financial Markets and Funds Quick Take | Issue 33

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds…more

Broker-Dealer, CFTC, EU, Financial Conduct Authority (FCA), Financial Industry Regulatory Authority (FINRA)

See all updates »

Capital Markets Compass | Issue 6

In the May edition of Capital Markets Compass, we examine how innovative offering structures are providing access to capital despite significant market challenges. We analyze recent SEC comment letters focusing on climate and…more

Capital Markets, Capital Raising, Climate Change, Corporate Governance, Disclosure Requirements

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2024 Year-End Estate Planning Advisory

This year was busy for trusts and estates practitioners. With 2025 marking the final year of the Tax Cuts and Jobs Act (TCJA), many of its implications for federal corporate and individual income tax, gift, estate and…more

Estate Planning, Estate Tax, Estate-Tax Exemption, Generation-Skipping Transfer, Gift Tax

See all updates »

Privacy, Data and Cybersecurity Quick Clicks | Issue 5

Florida Health Information Storage Changes Taking Effect on July 1 - Foreign Interests in the health care provider environment have generally meant ownership interests of persons from outside of the state in which the…more

Artificial Intelligence, Cybersecurity, Data Collection, Data Privacy, Data Protection

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Exploring the Intersection of Gender, Restructuring and Distress in the Life Sciences: A Discussion With Angela Allen

In the latest TMA Chicago Midwest Podcast episode, I was delighted to speak with Angela Allen, a partner at Jenner & Block in Chicago. Angela's law practice focuses on all aspects of financial distress, from protecting clients…more

Financial Distress, Gender Equity, Insolvency, Life Sciences, Restructuring

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ESG Guidepost | Issue 13

Katten ESG Guidepost is a monthly publication highlighting the latest news, legal and regulatory developments involving environmental, social and governance matters…more

China, Corporate Governance, Corporate Social Responsibility, Corporate Transparency Act, Cybersecurity

See all updates »

How Will Rising Interest Rates and Economic Uncertainty Impact Real Estate Industry in 2024?

Katten and Cushman & Wakefield have partnered to provide commercial real estate thought leaders with an opportunity to network and examine current factors impacting the industry during a January 25 event in Charlotte. Real…more

Commercial Leases, Commercial Property Owners, Commercial Real Estate Market, Commercial Tenants, Interest Rates

See all updates »

Insights into the Latest Treasury and IRS Proposed Regulations on Excise Tax for Corporate Stock Repurchases

On April 12, 2024, the Department of the Treasury and the IRS published proposed regulations regarding the application of the stock repurchase excise tax under § 4501 of the Internal Revenue Code (the “Proposed Regulations”)…more

Excise Tax, IRS, Proposed Regulation, Share Buybacks, Stock Repurchases

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US Treasury Releases Final Regulations for $7,500 EV Tax Credit, Maintains Exclusions for Foreign Entities of Concern

On May 3, the US Treasury Department (Treasury) released final regulations under Section 30D of the Internal Revenue Code. The Section 30D regulations provide guidance for the up to $7,500 electric vehicle (EV) tax credit…more

Automotive Industry, Batteries, Electric Vehicles, Internal Revenue Code (IRC), Tax Credits

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Financial Markets and Funds Quick Take | Issue 6

The SEC Remains in Search of and Is Looking for Finders - Much has been written on the topic of finders and arrangers of securities transactions, including when a person or entity acting as a finder (i.e., someone who merely…more

Broker-Dealer, Chicago Mercantile Exchange (CME), Financial Industry Regulatory Authority (FINRA), Over The Counter Derivatives (OTC), Proxy Statements

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FINRA 529 Plan Share Class Initiative Encourages Firms to Self-Report Violations

On January 28, the Financial Industry Regulatory Authority (FINRA) issued a Regulatory Notice announcing the 529 Plan Share Class Initiative, a self-reporting initiative to promptly compensate harmed investors and promote firms'…more

529 Plans, Enforcement, Financial Industry Regulatory Authority (FINRA), MSRB, Municipal Securities Issuers

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What the Evian "Carbon-Neutral" Ruling Means for Advertisers

In a notable ESG ruling, U.S. District Judge Nelson Roman dismissed a class action lawsuit against Danone Waters of America that had alleged the company deceptively labeled its Evian bottled water as "carbon-neutral." This…more

Advertising, Carbon Emissions, Corporate Counsel, Federal Trade Commission (FTC), Green Guides

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Part II: Force Majeure Clauses and Physically Settled Power Hedges Under the ISDA North American Power Annex

Key Points - - The ISDA Power Annex has special provisions dealing with Force Majeure - These special provisions trump the Force Majeure provisions in the 2002 ISDA Master Agreement - The Power Annex definition of Force…more

Coronavirus/COVID-19, Force Majeure Clause, ISDA

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A Closer Look at the 5th Circuit Decision Vacating the Fiduciary Rule

On March 15, the Court of Appeals for the Fifth Circuit vacated, in its entirety, amendments to Rule 29 C.F.R. § 2510.3-21 ("Fiduciary Rule"), codifying the Obama-era's expansive definition of the term "investment advice…more

Administrative Procedure Act, Appeals, Department of Labor (DOL), Employee Retirement Income Security Act (ERISA), Fiduciary Rule

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2024 Year-End Estate Planning: Retirement Planning

The Setting Every Community Up for Retirement Enhancement Act of 2019 (the SECURE Act), was originally signed into law on December 20, 2019. Intended to assist and encourage Americans in saving and investing for retirement, the…more

Beneficiary Designations, Employee Benefits, Estate Planning, Individual Retirement Account (IRA), Required Minimum Distributions

See all updates »

ESG Guidepost | Issue 6

Katten ESG Guidepost is a monthly publication highlighting the latest news, legal and regulatory developments involving environmental, social and governance matters…more

Climate Change, Corporate Governance, Corporate Social Responsibility, Environmental Social & Governance (ESG), Greenwashing

See all updates »

2024 Year-End Estate Planning: California Updates

Uniform Directed Trust Act and Uniform Fiduciary Income and Principal Act Become Effective - As reported in Katten's 2023 Year-End Advisory, the California Uniform Directed Trust Act (UDTA) and the Uniform Fiduciary Income…more

California, Estate Planning, Estate Tax, State Taxes, Tax Planning

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ESG Guidepost | Issue 13

Katten ESG Guidepost is a monthly publication highlighting the latest news, legal and regulatory developments involving environmental, social and governance matters…more

China, Corporate Governance, Corporate Social Responsibility, Corporate Transparency Act, Cybersecurity

See all updates »

See Katten's Model Clawback Policy as Mandatory Rules Take Effect

As we previously noted, the Securities and Exchange Commission (SEC) adopted long-delayed rules on October 26, 2022, which will require companies to implement mandatory "clawback" policies with respect to incentive-based…more

Clawbacks, Corporate Governance, Corporate Officers, Disclosure Requirements, Dodd-Frank

See all updates »

Navigating the Regulatory Landscape – SEC Adopts New Rules Requiring Increased Disclosure on Stock Buybacks – Including Quarterly Reporting of Daily Repurchase Activity

On May 3, 2023, by a 3-2 vote, the Securities and Exchange Commission (SEC) adopted amendments to disclosure rules (the “new buyback disclosure rules”) relating to repurchases of equity securities by issuers (or repurchases on…more

Disclosure, Disclosure Requirements, Repurchase Agreements, Repurchases, Securities

See all updates »

Leased Aircraft Stranded in Russia: A Survey of the Pending Insurance Claim Litigation in Different Jurisdictions

Key Points - - Insurance companies are bracing themselves for years of legal disputes over liability for total losses claimed by lessors to aircraft stranded in Russia as a result of sanctions over Russia's invasion of Ukraine…more

Air Carriers, Aircraft, Aircraft Financing, Airlines, Aviation Industry

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A New 'Carrot' in the Government's Pocket: DOJ Announces Pilot Program to Reward Whistleblowers

The Department of Justice (DOJ) is continuing its efforts to crack down on corporate misconduct by developing a new program to pay corporate whistleblowers for information leading to civil and criminal forfeitures. This program…more

Corporate Crimes, Corporate Misconduct, Department of Justice (DOJ), Foreign Corrupt Practices Act (FCPA), Voluntary Disclosure

See all updates »

2024 Year-End Estate Planning Advisory

This year was busy for trusts and estates practitioners. With 2025 marking the final year of the Tax Cuts and Jobs Act (TCJA), many of its implications for federal corporate and individual income tax, gift, estate and…more

Estate Planning, Estate Tax, Estate-Tax Exemption, Generation-Skipping Transfer, Gift Tax

See all updates »

Financial Markets and Funds Quick Take | Issue 32

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds…more

CFTC, Investment Adviser, NYDFS, Private Funds, Securities and Exchange Commission (SEC)

See all updates »

CMS Clarifies Boundaries on AI in Coverage Determination for Medicare Advantage Organizations

On February 6, the Centers for Medicare and Medicaid (CMS) published an important FAQ for Medicare Advantage Organizations (MA) and Medicare-Medicaid Plans intended to clarify ambiguities identified by the public in the…more

Centers for Medicare & Medicaid Services (CMS), Health Care Providers, Medicare, Medicare Advantage, Medicare Advantage Organizations (MAOs)

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Federal Courts Side With Strip Clubs in Opposing the SBA's Ineligibility Rules for the Paycheck Protection Program, Possibly Signaling a Broader Trend

Recent rulings from federal courts enjoined the US Small Business Administration (SBA) from applying its April 2, 2020 Interim Final Rule (April 2 IFR) to limit the types of businesses that can participate in the Paycheck…more

CARES Act, Coronavirus/COVID-19, Federal Loans, Financial Stimulus, Paycheck Protection Program (PPP)

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Coinbase, Inc. v. Bielski: Interlocutory Appeals on the Question of Arbitrability Automatically Stay District Court Proceedings

On Friday, the Supreme Court ruled five to four that a district court is required to stay pre-trial and trial proceedings while a decision on interlocutory appeal as to the question of arbitrability is ongoing. In an opinion by…more

Arbitration, Automatic Stay, Certiorari, Coinbase, Coinbase Inc v Bielski

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UK Financial Insights from Katten | Issue 17

UK Financial Insights from Katten is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds in the UK and Europe…more

Banking Sector, EU, Financial Conduct Authority (FCA), Financial Institutions, Financial Regulatory Reform

See all updates »

UK Financial Insights from Katten | Issue 15

UK Financial Insights from Katten is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds in the UK and Europe…more

American Recovery and Reinvestment Act, Cross-Border, Employer Liability Issues, EU, Financial Conduct Authority (FCA)

See all updates »

OIG Advisory Opinion Touches on Commonly-Raised Concepts for Mitigating Anti-Kickback Statute Risk

While OIG Advisory Opinion 23-05 primarily focuses on the Requestor's proposed arrangement being disfavored based on "Contractual Joint Venture" elements, various statements in the Opinion reiterate the OIG's view on three…more

Anti-Kickback Statute, Health Care Providers, OIG

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UK Financial Insights from Katten | Issue 16

UK Financial Insights from Katten is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds in the UK and Europe…more

Banking Sector, Banks, Data Privacy, EU, Financial Conduct Authority (FCA)

See all updates »

U.S. Supreme Court Overturns Chevron – Impact on Health Care and Life Sciences

On June 28, 2024, the U.S. Supreme Court (the “Court”) issued a decision in Loper Bright Enterprises v. Raimondo and Relentless, Inc. v. Department of Commerce (“Loper Decision”) overturning what is commonly referred to as…more

Administrative Procedure Act, Chevron Deference, Chevron v NRDC, Government Agencies, Judicial Authority

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Key LP Investments Trends in 2024 and Beyond

C.S. Lewis once wrote, "Onwards and upwards! To Narnia and the North," and this seems to have been echoed by the private equity market in 2024 thus far. Except this time, it appears the destination is not Narnia but rather the…more

Corporate Social Responsibility, Environmental Social & Governance (ESG), Federal Reserve, Financial Institutions, Financial Services Industry

See all updates »

English Law Creditors Bound by Irish Scheme of Arrangement

In a radical departure from settled case law, the English High Court has eroded the protections of English law creditors guaranteed by the Rule in Gibbs…more

Corporate Restructuring, Creditors, Debt Restructuring, Debtors, Insolvency

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Debtors Must Continue to Consider English Restructuring Processes to Secure a Global Solution

Key Point The - UK government's proposals to only partially implement a new UNCITRAL Model Law means that creditors of English law debts who do not consent to a foreign restructuring proceeding will still have recourse to…more

Chapter 11, Commercial Bankruptcy, Cross-Border Insolvency Regulations (CBIR), Debt Financing, Debt Restructuring

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Hope for the Best but Prepare for the Worst — Steps to Take If You are Worried About the Effects of the Pandemic on Your ISDA Counterparty

The unprecedented havoc wreaked on world economies by COVID-19 has put all manner of entities under financial stress. If some of those entities are your counterparties to swaps under either the 1992 ISDA Master Agreement or the…more

Business Interruption, Coronavirus/COVID-19, Force Majeure Clause, ISDA, ISDA Master Agreement

See all updates »

Kattison Avenue | Issue 12 - Spring 2024

We're thrilled to present a special Spring edition of Kattison Avenue, which delves into highlights and takeaways from the recent Katten-hosted Association of National Advertisers (ANA) 1-Day Conference in our New York office…more

Advertising, Artificial Intelligence, False Advertising, Greenwashing, Marketing

See all updates »

Sentencing Guidelines Amendment Prevents Judges From Considering Acquitted Conduct at Sentencing

Since the Supreme Court’s decision in United States v. Watts, 19 US 148 (1997), judges have been permitted to consider acquitted conduct when calculating a defendant’s sentencing guidelines range and determining their ultimate…more

Acquittals, Federal Sentencing Guidelines, SCOTUS, Sentencing

See all updates »

New ASTM Standard for Phase I Environmental Site Assessments Takes Legal Effect: What This Means for Scoping Due Diligence

Today, February 13, the American Society for Testing and Materials (ASTM) International E1527-21 "Standard Practice for Environmental Site Assessments: Phase I Environmental Site Assessment Process" becomes the modern legal…more

CERCLA, Contaminated Properties, Environmental Assessments, Environmental Protection Agency (EPA), Hazardous Substances

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The CFPB Lives On and Arbitrable Lawsuits Must Be Stayed (Not Dismissed)

The Supreme Court was busy last week issuing opinions of interest to consumer finance companies, CFPB-regulated entities, and anyone who finds themselves enforcing arbitration rights in court…more

Appropriation, Constitutional Challenges, Consumer Financial Protection Bureau (CFPB), Financial Services Industry, Funding

See all updates »

FINRA Settles First Significant CAT Reporting Enforcement Action

On August 16, Instinet, LLC (Instinet or the Firm) agreed to pay a $3.8 million fine to settle an enforcement action with the Financial Industry Regulatory Authority (FINRA) regarding its alleged failure to comply with certain…more

Broker-Dealer, Consolidated Audit Trail, Enforcement Actions, Financial Industry Regulatory Authority (FINRA), Financial Institutions

See all updates »

UK Financial Insights from Katten | Issue 17

UK Financial Insights from Katten is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds in the UK and Europe…more

Banking Sector, EU, Financial Conduct Authority (FCA), Financial Institutions, Financial Regulatory Reform

See all updates »

SEC Accelerates Beneficial Ownership Filing Deadlines but Holds Off on Other Changes

On October 10, the Securities and Exchange Commission (SEC or the Commission) adopted comprehensive changes to Regulation D-G, which governs beneficial ownership reporting under Section 13(d) of the Securities Exchange Act of…more

Beneficial Owner, Compliance, Disclosure Requirements, EDGAR, Filing Deadlines

See all updates »

2024 Year-End Estate Planning: Florida Updates

Several legislative proposals and new laws have been introduced in Florida affecting Private Wealth. A brief summary of the 2024 changes follows…more

Estate Planning, Fiduciary Duty, Property Tax, State Taxes, Tax Planning

See all updates »

Financial Markets and Funds Quick Take | Issue 7

SEC to Inspect Firms for Compliance With New Advertising and Solicitation Rule - November 4 is the compliance date for the new rule governing advertising and solicitation activities by investment advisers. The new rule…more

Advertising, B2B Transactions, Bribery, California Consumer Privacy Act (CCPA), CFTC

See all updates »

Sentencing Guidelines Amendment Prevents Judges From Considering Acquitted Conduct at Sentencing

Since the Supreme Court’s decision in United States v. Watts, 19 US 148 (1997), judges have been permitted to consider acquitted conduct when calculating a defendant’s sentencing guidelines range and determining their ultimate…more

Acquittals, Federal Sentencing Guidelines, SCOTUS, Sentencing

See all updates »

2023 Year-End Estate Planning Advisory

We have certainly had our share of turbulent waters in the estate planning world from 2020-2022. With two significant elections, it is hard to remember a previous time with such substantial uncertainty about how tax planning and…more

Estate Planning, Estate Tax, Estate-Tax Exemption, Gift Tax, Gift-Tax Exemption

See all updates »

New York Passes Revised Automatic Renewal Law

This advisory outlines key takeaways from New York's new Automatic Renewal Law (ARL), which contains new provisions that make it more similar to California's ARL. ARLs have become increasingly more common in consumer class…more

Automatic Renewals, Consumer Contracts, New Legislation, New York, State and Local Government

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Antitrust Developments to Monitor Under the Next Trump Administration

In the coming months, the President-elect will appoint, and the Senate will confirm, a new Assistant Attorney General in charge of the Department of Justice (DOJ) Antitrust Division and a new Commissioner to fill a slot at the…more

Acquisitions, Antitrust Division, Antitrust Provisions, Corporate Counsel, Department of Justice (DOJ)

See all updates »

2024 Year-End Estate Planning Advisory

This year was busy for trusts and estates practitioners. With 2025 marking the final year of the Tax Cuts and Jobs Act (TCJA), many of its implications for federal corporate and individual income tax, gift, estate and…more

Estate Planning, Estate Tax, Estate-Tax Exemption, Generation-Skipping Transfer, Gift Tax

See all updates »

Financial Markets and Funds Quick Take | Issue 33

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds…more

Broker-Dealer, CFTC, EU, Financial Conduct Authority (FCA), Financial Industry Regulatory Authority (FINRA)

See all updates »

2024 Year-End Estate Planning: North Carolina Updates

Remote Electronic Notary Act - As discussed in last year's advisory, the North Carolina Remote Electronic Notary Act (referred to as RENA or the Act) was enacted on July 8, 2022. This Act permanently codified remote…more

Beneficiaries, Estate Planning, Remote Notarization, Trusts, Wills

See all updates »

Four Things to Know About Family Office Compensation and Talent

In an increasingly competitive market for sophisticated and experienced professional and investment talent, family offices are seeking and applying new approaches to attract and retain top level executives. Transactional Tax…more

Business Strategies, Compensation & Benefits, Employee Benefits, Employee Retention, Family Offices

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Navigating the Regulatory Landscape – SEC Adopts New Rules Requiring Increased Disclosure on Stock Buybacks – Including Quarterly Reporting of Daily Repurchase Activity

On May 3, 2023, by a 3-2 vote, the Securities and Exchange Commission (SEC) adopted amendments to disclosure rules (the “new buyback disclosure rules”) relating to repurchases of equity securities by issuers (or repurchases on…more

Disclosure, Disclosure Requirements, Repurchase Agreements, Repurchases, Securities

See all updates »

A Post-Budget Review of the UK Tax Landscape for Non-Doms and Family Offices

During Katten's recent tax planning seminar, a panel of leading experts analysed the impact of the Autumn Budget 2024 (Budget) on the United Kingdom's non-dom tax regime — specifically related to family offices and foreign…more

Corporate Taxes, Family Offices, Federal Budget, Foreign Workers, HMRC

See all updates »

QPAM Exemption Initial Notification Deadline Nearing

On April 2, 2024, the US Department of Labor (DOL) issued an amendment establishing new rules (New QPAM Rules) for what is commonly referred to as the "QPAM Exemption." The QPAM Exemption is the main exemption relied upon by…more

Department of Labor (DOL), Employee Benefits, Employee Retirement Income Security Act (ERISA), Internal Revenue Code (IRC), Investment Adviser

See all updates »

UK Financial Insights from Katten | Issue 14

UK Financial Insights from Katten is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds in the UK and Europe…more

Digital Assets, Environmental Social & Governance (ESG), Financial Conduct Authority (FCA), Financial Institutions, Financial Markets

See all updates »

New York Passes Revised Automatic Renewal Law

This advisory outlines key takeaways from New York's new Automatic Renewal Law (ARL), which contains new provisions that make it more similar to California's ARL. ARLs have become increasingly more common in consumer class…more

Automatic Renewals, Consumer Contracts, New Legislation, New York, State and Local Government

See all updates »

UK Financial Insights from Katten | Issue 14

UK Financial Insights from Katten is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds in the UK and Europe…more

Digital Assets, Environmental Social & Governance (ESG), Financial Conduct Authority (FCA), Financial Institutions, Financial Markets

See all updates »

QPAM Exemption Initial Notification Deadline Nearing

On April 2, 2024, the US Department of Labor (DOL) issued an amendment establishing new rules (New QPAM Rules) for what is commonly referred to as the "QPAM Exemption." The QPAM Exemption is the main exemption relied upon by…more

Department of Labor (DOL), Employee Benefits, Employee Retirement Income Security Act (ERISA), Internal Revenue Code (IRC), Investment Adviser

See all updates »

OFAC Warns Foreign Financial Institutions Against Joining Russian Financial Messaging Center

On November 21, 2024, the United States Department of the Treasury's Office of Foreign Assets Control ("OFAC") issued an alert cautioning foreign financial institutions against joining the Russian financial messaging system…more

Banks, Economic Sanctions, Financial Institutions, Office of Foreign Assets Control (OFAC), Russia

See all updates »

The Waivers Era Is Over Now That the End of the Public Health Emergency Is Here

In a memorandum issued by the Centers for Medicare and Medicaid Services (CMS) on May 1, 2023, CMS provided guidance to State Survey Agency Directors related to surveys of Long Term Care (LTC) and Acute and Continuing Care (ACC)…more

Ambulatory Surgery Centers, Centers for Medicare & Medicaid Services (CMS), Home Health Agencies, Hospitals, Public Health Emergency

See all updates »

2024 Year-End Estate Planning: International Developments

It has been back to business as usual for the Internal Revenue Service (IRS) and Department of the Treasury in 2024. US tax authorities are not shaking up the international private client landscape, but instead are providing…more

Controlled Foreign Corporations, Estate Planning, Estate Tax, Foreign Trusts, Income Taxes

See all updates »

Financial Markets and Funds Quick Take | Issue 33

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds…more

Broker-Dealer, CFTC, EU, Financial Conduct Authority (FCA), Financial Industry Regulatory Authority (FINRA)

See all updates »

Breaking News: Federal District Court Halts Corporate Transparency Act Enforcement Nationwide

This Corporate Advisory provides a brief update on recent litigation regarding the Corporate Transparency Act (CTA) and its reporting requirements. It is not intended to, and does not, provide legal, compliance or other advice…more

Anti-Corruption, Anti-Money Laundering, Beneficial Owner, Corporate Transparency Act, Financial Crimes

See all updates »

Debtors Must Continue to Consider English Restructuring Processes to Secure a Global Solution

Key Point The - UK government's proposals to only partially implement a new UNCITRAL Model Law means that creditors of English law debts who do not consent to a foreign restructuring proceeding will still have recourse to…more

Chapter 11, Commercial Bankruptcy, Cross-Border Insolvency Regulations (CBIR), Debt Financing, Debt Restructuring

See all updates »

Kattison Avenue | Issue 12 - Spring 2024

We're thrilled to present a special Spring edition of Kattison Avenue, which delves into highlights and takeaways from the recent Katten-hosted Association of National Advertisers (ANA) 1-Day Conference in our New York office…more

Advertising, Artificial Intelligence, False Advertising, Greenwashing, Marketing

See all updates »

Tax Implications of LIBOR Reform

LIBOR (London Interbank Offered Rate) is a set of interest rate benchmarks based on the rates at which banks are willing to borrow wholesale-unsecured funds. It is used in numerous financial instruments such as loans,…more

Banking Sector, Benchmarks, Derivatives, Financial Conduct Authority (FCA), Interest Rates

See all updates »

President-Elect Trump Taps Andrew Ferguson to Serve as FTC Chair and Nominates Mark Meador as Commissioner

On December 10, 2024, Pesident-elect Donald Trump announced that FTC commissioner Andrew Ferguson will chair the agency, while nominating Mark Meador to fill the commissioner vacancy. Ferguson was sworn in as FTC commissioner in…more

Federal Trade Commission (FTC), FTC Commissioners, Nominations, Trump Administration

See all updates »

New York City's Article XI Real Property Tax Exemption Program: Providing Attractive Real Property Tax Benefits for Multi-family Properties

Key Points - - The Housing Preservation Opportunities Program (the Program) offers attractive real property tax exemptions for multi-family projects located in New York City, including those that may be experiencing economic…more

Landlords, New Legislation, New York, Real Estate Brokers, Real Estate Development

See all updates »

QPAM Exemption Initial Notification Deadline Nearing

On April 2, 2024, the US Department of Labor (DOL) issued an amendment establishing new rules (New QPAM Rules) for what is commonly referred to as the "QPAM Exemption." The QPAM Exemption is the main exemption relied upon by…more

Department of Labor (DOL), Employee Benefits, Employee Retirement Income Security Act (ERISA), Internal Revenue Code (IRC), Investment Adviser

See all updates »

2023 Katten Middle-Market Private Equity Report

Dealmakers Diverge on PE Outlook Amid Market Uncertainty - Middle-market private equity (PE) firms have mixed expectations for the U.S. mergers and acquisitions (M&A) market in 2023, citing high inflation and concern that…more

Acquisitions, Financing, Investors, Mergers, Private Equity

See all updates »

Financial Markets and Funds Quick Take | Issue 30

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds…more

CFTC, Cryptoassets, Digital Assets, EU, Final Rules

See all updates »

The SEC Lives On Under New Leadership — What to Expect

President-elect Donald J. Trump nominated Paul Atkins to succeed Gary Gensler as Securities and Exchange Commission (SEC or Commission) Chair on December 4. Atkins was an SEC staff attorney under SEC Chairs Richard Breeden and…more

Broker-Dealer, Compliance, Enforcement Actions, Financial Industry Regulatory Authority (FINRA), Investment Adviser

See all updates »

2022 Year-End Estate Planning Advisory

During 2022, COVID-19, the war in Ukraine, global inflation, the Tax Cuts and Jobs Act (TCJA), the uncertainty about the Build Back Better Act (BBBA), the Corporate Transparency Act (CTA), and the Inflation Reduction Act (IRA)…more

Biden Administration, Clawbacks, Estate Planning, Estate Tax, Estate-Tax Exemption

See all updates »

Whether Obviousness Type Double Patenting Can Be Used to Invalidate Patents That Expire Later Because of Patent Term Adjustment

We write to advise you on an issue currently before the Federal Circuit in a case of first impression, namely whether a later-filed, earlier-expiring patent can be used as a reference for obvious-type double patenting (OTDP) to…more

Double Patent, Obviousness, Obviousness-Type Double Patenting (ODP), Patent Applications, Patent Expiration

See all updates »

Whether Obviousness Type Double Patenting Can Be Used to Invalidate Patents That Expire Later Because of Patent Term Adjustment

We write to advise you on an issue currently before the Federal Circuit in a case of first impression, namely whether a later-filed, earlier-expiring patent can be used as a reference for obvious-type double patenting (OTDP) to…more

Double Patent, Obviousness, Obviousness-Type Double Patenting (ODP), Patent Applications, Patent Expiration

See all updates »

DOJ Signals Increased Use of Corporate Monitors

On October 28, 2021, Deputy Attorney General Lisa Monaco announced revised Department of Justice (DOJ) guidance on corporate monitors. Going forward, prosecutors are free to require the imposition of a corporate monitor when…more

Compliance, Corporate Investigations, Corporate Misconduct, Corporate Monitoring, Corruption

See all updates »

Potential Pitfalls When Using Music in Social Media Marketing - Kattison Avenue/Katten Kattwalk | Issue 1

Harnessing the power of social media to market products and services is now commonplace, and can take a number of forms, including paying social media "influencers" to create content promoting products, reposting content created…more

Advertising, Copyright Infringement, Facebook, Influencers, Marketing

See all updates »

Texas (Business) Courts to Open for Business: Law Creating Specialized Business Courts in Texas Becomes Official

Last Friday, June 9, Texas Governor Greg Abbott signed Texas House Bill 19, which codifies a business court system in Texas. Similar to the commercial court systems that exist in Delaware and New York, Texas's business court…more

Business Court, Business Disputes, Business Litigation, C-Suite Executives, Corporate Officers

See all updates »

A Post-Budget Review of the UK Tax Landscape for Non-Doms and Family Offices

During Katten's recent tax planning seminar, a panel of leading experts analysed the impact of the Autumn Budget 2024 (Budget) on the United Kingdom's non-dom tax regime — specifically related to family offices and foreign…more

Corporate Taxes, Family Offices, Federal Budget, Foreign Workers, HMRC

See all updates »

SEC Adopts Regulation AB II

On August 27, the Securities and Exchange Commission at an open meeting unanimously adopted Regulation AB II (Reg AB II). The final rule provides significant revisions to Regulation AB, which provides the rules regarding the…more

Asset-Backed Securities, Disclosure Requirements, Dodd-Frank, EDGAR, New Regulations

See all updates »

Chicago United States Attorney's Office Launches Pilot Program to Encourage Self-Disclosure

On September 16, the US Attorney's Office for the Northern District of Illinois (NDIL) announced the launch of its Individual Self-Disclosure (ISD) Pilot Program. The program offers non-prosecution agreements to qualifying…more

Cooperation, Corporate Misconduct, Criminal Prosecution, Department of Justice (DOJ), Illinois

See all updates »

Bitnomial Exchange Sues SEC, Challenging Agency's Authority Over XRP Futures

Bitnomial Exchange, LLC (Bitnomial), a designated contract market (DCM) registered with the Commodity Futures Trading Commission (CFTC), has launched a legal offensive against the US Securities and Exchange Commission (SEC),…more

Blockchain, CFTC, Crypto Exchanges, Cryptocurrency, Digital Assets

See all updates »

Q&A – FTC Rule Banning Non-Competes With Workers

On April 23, the Federal Trade Commission (FTC) voted 3-2 to approve a Final Rule (the Final Rule) that, if allowed to take effect, would ban nearly all non-competes with employees and other workers and substantially change the…more

Anti-Competitive, Competition, Employer Liability Issues, Employment Contract, Federal Trade Commission (FTC)

See all updates »

California Court of Appeal Ruling Limits Application of Default Interest

The California Court of Appeal recently ruled that California law treats default interest measured against the unpaid principal balance of a loan as an unenforceable penalty. In Honchariw v. FJM Private Mortgage Fund, LLC (see…more

Borrowers, California, Contract Terms, Financial Contracts, Financial Services Industry

See all updates »

UK Financial Insights from Katten | Issue 15

UK Financial Insights from Katten is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds in the UK and Europe…more

American Recovery and Reinvestment Act, Cross-Border, Employer Liability Issues, EU, Financial Conduct Authority (FCA)

See all updates »

2024 Year-End Estate Planning Advisory

This year was busy for trusts and estates practitioners. With 2025 marking the final year of the Tax Cuts and Jobs Act (TCJA), many of its implications for federal corporate and individual income tax, gift, estate and…more

Estate Planning, Estate Tax, Estate-Tax Exemption, Generation-Skipping Transfer, Gift Tax

See all updates »

ESG Guidepost | Issue 10

Katten ESG Guidepost is a monthly publication highlighting the latest news, legal and regulatory developments involving environmental, social and governance matters…more

Business Strategies, Carbon Emissions, Climate Change, Corporate Governance, Corporate Social Responsibility

See all updates »

English Law Creditors Bound by Irish Scheme of Arrangement

In a radical departure from settled case law, the English High Court has eroded the protections of English law creditors guaranteed by the Rule in Gibbs…more

Corporate Restructuring, Creditors, Debt Restructuring, Debtors, Insolvency

See all updates »

US Treasury Releases Final Regulations for $7,500 EV Tax Credit, Maintains Exclusions for Foreign Entities of Concern

On May 3, the US Treasury Department (Treasury) released final regulations under Section 30D of the Internal Revenue Code. The Section 30D regulations provide guidance for the up to $7,500 electric vehicle (EV) tax credit…more

Automotive Industry, Batteries, Electric Vehicles, Internal Revenue Code (IRC), Tax Credits

See all updates »

2024 Year-End Estate Planning: Legislative Proposals

President-Elect Donald Trump has not published a comprehensive tax plan as of the time of this writing, but he and Vice President-Elect J.D. Vance have made several proposals in campaign speeches, interviews and online. Though…more

Capital Gains Tax, Estate Planning, Estate Tax, Income Taxes, SALT

See all updates »

UK Financial Insights from Katten | Issue 17

UK Financial Insights from Katten is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds in the UK and Europe…more

Banking Sector, EU, Financial Conduct Authority (FCA), Financial Institutions, Financial Regulatory Reform

See all updates »

See Katten's Model Clawback Policy as Mandatory Rules Take Effect

As we previously noted, the Securities and Exchange Commission (SEC) adopted long-delayed rules on October 26, 2022, which will require companies to implement mandatory "clawback" policies with respect to incentive-based…more

Clawbacks, Corporate Governance, Corporate Officers, Disclosure Requirements, Dodd-Frank

See all updates »

U.S. Senators Elizabeth Warren and Roger Marshall Introduce "Digital Asset Anti-Money Laundering Bill"

U.S. Senators Elizabeth Warren and Roger Marshall are introducing the Digital Asset Anti-Money Laundering Act (the "Act"), with the aim of bringing the crypto and digital asset ecosystem under existing anti-money laundering and…more

Anti-Money Laundering, Cryptocurrency, Digital Assets, Elizabeth Warren, FinCEN

See all updates »

2024 Year-End Estate Planning: New York Updates

In 2024, there was much legislative activity in New York that affected the Private Wealth realm. A brief summary of the 2024 changes follows…more

Corporate Transparency Act, Estate Planning, Estate Tax, Limited Liability Company (LLC), Recordkeeping Requirements

See all updates »

ESG Guidepost | Issue 18

Katten ESG Guidepost is a monthly publication highlighting the latest news, legal and regulatory developments involving environmental, social and governance matters…more

Corporate Social Responsibility, Environmental Social & Governance (ESG), Federal Trade Commission (FTC), FinCEN, Reporting Requirements

See all updates »

English Law Creditors Bound by Irish Scheme of Arrangement

In a radical departure from settled case law, the English High Court has eroded the protections of English law creditors guaranteed by the Rule in Gibbs…more

Corporate Restructuring, Creditors, Debt Restructuring, Debtors, Insolvency

See all updates »

SEC Chairman Announces Plans for Further Regulation of Rule 10b5-1 Plans

On June 7, Securities and Exchange Commission (SEC) Chairman Gary Gensler announced plans to revise rules governing Rule 10b5-1 plans. Rule 10b5-1 plans provide executive insiders with a defense against insider trading claims…more

Insider Trading, Material Nonpublic Information, Rule 10b-5, Securities and Exchange Commission (SEC), Securities Exchange Act of 1934

See all updates »

Privacy, Data and Cybersecurity Quick Bytes | Issue 1

Welcome to the inaugural issue of Katten’s Privacy, Data and Cybersecurity Quick Bytes. Each month, Quick Bytes will highlight the latest news and legal developments involving privacy, data and cybersecurity issues across the…more

California Consumer Privacy Act (CCPA), Corporate Counsel, Cybersecurity, Data Protection, Financial Institutions

See all updates »

Breaking News: Federal District Court Halts Corporate Transparency Act Enforcement Nationwide

This Corporate Advisory provides a brief update on recent litigation regarding the Corporate Transparency Act (CTA) and its reporting requirements. It is not intended to, and does not, provide legal, compliance or other advice…more

Anti-Corruption, Anti-Money Laundering, Beneficial Owner, Corporate Transparency Act, Financial Crimes

See all updates »

UK Financial Insights from Katten | Issue 16

UK Financial Insights from Katten is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds in the UK and Europe…more

Banking Sector, Banks, Data Privacy, EU, Financial Conduct Authority (FCA)

See all updates »

2024 Year-End Estate Planning Advisory

This year was busy for trusts and estates practitioners. With 2025 marking the final year of the Tax Cuts and Jobs Act (TCJA), many of its implications for federal corporate and individual income tax, gift, estate and…more

Estate Planning, Estate Tax, Estate-Tax Exemption, Generation-Skipping Transfer, Gift Tax

See all updates »

New Year, New Remote Monitoring Services Billing Rules

Introduction on Final Rule - On November 23, 2023, the Centers for Medicare & Medicaid Services (CMS) published the final rule for payment policies under the Physician Fee Schedule for calendar year 2024 (Final Rule). This…more

Centers for Medicare & Medicaid Services (CMS), Health Care Providers, Medical Devices, Medicare

See all updates »

Coronavirus (COVID-19) Federal and New York Health Care Primary Legal Sources - April 2020

A note from Katten’s Health Care team to our friends and colleagues - Our work involving the health care law of COVID-19 has necessarily involved a large body of “new law” and new resources. Katten’s health care attorneys…more

Coronavirus/COVID-19, Paycheck Protection Program (PPP), Relief Measures

See all updates »

Privacy, Data and Cybersecurity Quick Clicks | Issue 6

Katten's Privacy, Data and Cybersecurity Quick Clicks is a monthly newsletter highlighting the latest news and legal developments involving privacy, data and cybersecurity issues across the globe…more

Artificial Intelligence, Biometric Information Privacy Act, Consumer Financial Protection Bureau (CFPB), Consumer Privacy Rights, Data Privacy

See all updates »

UK Financial Insights from Katten | Issue 9

UK Financial Insights from Katten is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds in the UK and Europe…more

Banking Sector, Banks, Digital Assets, EU, Financial Conduct Authority (FCA)

See all updates »

2023 Katten Middle-Market Private Equity Report

Dealmakers Diverge on PE Outlook Amid Market Uncertainty - Middle-market private equity (PE) firms have mixed expectations for the U.S. mergers and acquisitions (M&A) market in 2023, citing high inflation and concern that…more

Acquisitions, Financing, Investors, Mergers, Private Equity

See all updates »

Financial Markets and Funds Quick Take | Issue 33

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds…more

Broker-Dealer, CFTC, EU, Financial Conduct Authority (FCA), Financial Industry Regulatory Authority (FINRA)

See all updates »

United States ex rel. Polansky v. Executive Health Resources, Inc, et al.: Supreme Court Clarifies Standard Under Which Government Can Intervene and Dismiss FCA Actions

Today, the Supreme Court issued a decision in United States el rel. Polansky v. Executive Health Resources, Inc., et al, clarifying that the government maintains authority to dismiss a qui tam False Claims Act (FCA) action after…more

Certiorari, False Claims Act (FCA), Motion to Dismiss, Qui Tam, Relators

See all updates »

Kroger/Albertsons Ruling Provides Lessons for Merger Remedy Divestitures

On December 10, a federal court in Oregon issued a preliminary injunction against Kroger's proposed $24.6 billion acquisition of Albertsons, which would have been the largest supermarket merger in US history (Albertsons…more

Albertsons, Antitrust Provisions, Competition, Corporate Counsel, Corporate Sales Transactions

See all updates »

Breaking News: Federal District Court Halts Corporate Transparency Act Enforcement Nationwide

This Corporate Advisory provides a brief update on recent litigation regarding the Corporate Transparency Act (CTA) and its reporting requirements. It is not intended to, and does not, provide legal, compliance or other advice…more

Anti-Corruption, Anti-Money Laundering, Beneficial Owner, Corporate Transparency Act, Financial Crimes

See all updates »

SEC Accelerates Beneficial Ownership Filing Deadlines but Holds Off on Other Changes

On October 10, the Securities and Exchange Commission (SEC or the Commission) adopted comprehensive changes to Regulation D-G, which governs beneficial ownership reporting under Section 13(d) of the Securities Exchange Act of…more

Beneficial Owner, Compliance, Disclosure Requirements, EDGAR, Filing Deadlines

See all updates »

SCOTUS Resolves New (Fourth) Layer of Arbitration Contract Disputes

The Supreme Court gave us another arbitration decision yesterday (May 23rd)—the second in the span of a week. This one is Coinbase v. Suski, which poses the following question: “Where parties have agreed to two contracts — one…more

Arbitration, Arbitration Agreements, Coinbase, Motion to Compel, SCOTUS

See all updates »

Corporate & Financial Weekly Digest, Featuring Articles on the SEC's Efforts to Help Underrepresented Business Founders and Investors, and the FCA Continues to Make ESG a Priority

BROKER-DEALER - SEC Small Business Capital Formation Advisory Committee to Discuss Opportunities for Underrepresented Founders and Investors - On April 26, the Securities and Exchange Commission announced that its Small…more

Brokers, CFTC, Climate Change, Financial Conduct Authority (FCA), Financial Industry Regulatory Authority (FINRA)

See all updates »

Differentiating Between ROFOs and ROFRs

Rights of first offer (ROFOs) and rights of first refusal (ROFRs) are two tools often used to provide rights to potential purchasers with respect to all types of assets and business opportunities. These rights grant their…more

Buyers, Property Ownership, Real Estate Transactions, Sellers

See all updates »

ESG Guidepost | Issue 14

Katten ESG Guidepost is a monthly publication highlighting the latest news, legal and regulatory developments involving environmental, social and governance matters…more

Climate Change, Corporate Social Responsibility, Department of Justice (DOJ), Department of Labor (DOL), Environmental Social & Governance (ESG)

See all updates »

UK Financial Insights from Katten | Issue 12

UK Financial Insights from Katten is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds in the UK and Europe…more

Artificial Intelligence, Banking Sector, Banks, Employer Liability Issues, EU

See all updates »

Fifth Circuit Strikes Down Board Diversity Rules in En Banc Decision

In a 9-8 en banc decision, the U.S. Court of Appeals for the Fifth Circuit blocked the Nasdaq board diversity rules, ruling that the U.S. Securities and Exchange Commission (SEC) lacked the authority to approve the rules…more

Board of Directors, Corporate Governance, Diversity, Publicly-Traded Companies, Securities and Exchange Commission (SEC)

See all updates »

UK Financial Insights from Katten | Issue 15

UK Financial Insights from Katten is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds in the UK and Europe…more

American Recovery and Reinvestment Act, Cross-Border, Employer Liability Issues, EU, Financial Conduct Authority (FCA)

See all updates »

A Post-Budget Review of the UK Tax Landscape for Non-Doms and Family Offices

During Katten's recent tax planning seminar, a panel of leading experts analysed the impact of the Autumn Budget 2024 (Budget) on the United Kingdom's non-dom tax regime — specifically related to family offices and foreign…more

Corporate Taxes, Family Offices, Federal Budget, Foreign Workers, HMRC

See all updates »

Mallory v. Norfolk Southern Railway Co.: Supreme Court Recognizes Existence of Consent-Based Theory of General Personal Jurisdiction

The US Supreme Court recently issued a decision in Mallory v. Norfolk Southern Railway Co holding that a Pennsylvania statute requiring corporations to "consent" to suit in Pennsylvania courts in order to register to do business…more

Commerce Clause, Constitutional Challenges, Due Process, Foreign Corporations, Fourteenth Amendment

See all updates »

U.S. Supreme Court Removes Nonconsensual Releases From The Bankruptcy Plan Quiver

On June 27, the U.S. Supreme Court announced a 5-4 decision rejecting the nonconsensual releases of the Sackler family in the Purdue Pharma bankruptcy case. The split is an interesting alignment of Justices: Gorsuch writing the…more

Bankruptcy Code, Chapter 11, Commercial Bankruptcy, Debtors, Non-Consensual Rights

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2021 PRIVATE CREDIT SURVEY REPORT - Despite Private Credit’s Sunny Outlook, Questions Emerge About Lender/Investor Congeniality, LIBOR

In February, Katten conducted a survey of 112 private credit industry professionals that showed how a large percentage of private equity investors and lenders in the private credit industry expect deal flow to increase in 2021…more

Banking Sector, Financial Institutions, Financial Markets, Interest Rates, Lenders

See all updates »

UK Financial Insights from Katten | Issue 9

UK Financial Insights from Katten is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds in the UK and Europe…more

Banking Sector, Banks, Digital Assets, EU, Financial Conduct Authority (FCA)

See all updates »

See Katten's Model Clawback Policy as Mandatory Rules Take Effect

As we previously noted, the Securities and Exchange Commission (SEC) adopted long-delayed rules on October 26, 2022, which will require companies to implement mandatory "clawback" policies with respect to incentive-based…more

Clawbacks, Corporate Governance, Corporate Officers, Disclosure Requirements, Dodd-Frank

See all updates »

The Katten Kattwalk | Issue 21

SCOTUS Confirms Willful Infringement Not Required to Award Trademark Profits - On April 23, the United States Supreme Court unanimously ruled that a plaintiff can win a profits remedy without showing that the defendant…more

Coronavirus/COVID-19, Fashion Branding, Fashion Design, Fashion Industry, Force Majeure Clause

See all updates »

U.S. Supreme Court Overturns Chevron – Impact on Health Care and Life Sciences

On June 28, 2024, the U.S. Supreme Court (the “Court”) issued a decision in Loper Bright Enterprises v. Raimondo and Relentless, Inc. v. Department of Commerce (“Loper Decision”) overturning what is commonly referred to as…more

Administrative Procedure Act, Chevron Deference, Chevron v NRDC, Government Agencies, Judicial Authority

See all updates »

The Katten Kattwalk - Issue 06

In this issue: - “Google It”: The Search Engine’s Trademark May Be a Verb, But It’s Not Generic - You Say “Tom‘ah’to,” I Say “Tom‘ay’to”: Determining the Correct Pronunciation of Uniquely Coined Trademarks -…more

Domain Names, Exceptional Case, Fee-Shifting, Generic, Google

See all updates »

Structured Finance Year in Review and the Outlook for 2021 | Key Takeaways

On December 8 and 10, Katten’s Structured Finance and Securitization Department presented the “Year in Review and Outlook for 2021” webinar series. Topics covered by Katten attorneys and guest speakers include the impact of the…more

Biden Administration, Coronavirus/COVID-19, EU, FDIC, FinTech

See all updates »

UK Financial Insights from Katten | Issue 14

UK Financial Insights from Katten is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds in the UK and Europe…more

Digital Assets, Environmental Social & Governance (ESG), Financial Conduct Authority (FCA), Financial Institutions, Financial Markets

See all updates »

CMS Calls for Novel Federal Staffing Standards in Nursing Homes

The Centers for Medicare & Medicaid Services (CMS) issued a proposal on September 1 calling for the first national minimum staffing standards for nursing homes. The Minimum Staffing Standards for Long-Term Care (LTC) Facilities…more

Centers for Medicare & Medicaid Services (CMS), Health Care Providers, Long Term Care Facilities, Long-Term Care, Nursing Homes

See all updates »

Fifth Circuit Strikes Down Board Diversity Rules in En Banc Decision

In a 9-8 en banc decision, the U.S. Court of Appeals for the Fifth Circuit blocked the Nasdaq board diversity rules, ruling that the U.S. Securities and Exchange Commission (SEC) lacked the authority to approve the rules…more

Board of Directors, Corporate Governance, Diversity, Publicly-Traded Companies, Securities and Exchange Commission (SEC)

See all updates »

ESG Guidepost | Issue 14

Katten ESG Guidepost is a monthly publication highlighting the latest news, legal and regulatory developments involving environmental, social and governance matters…more

Climate Change, Corporate Social Responsibility, Department of Justice (DOJ), Department of Labor (DOL), Environmental Social & Governance (ESG)

See all updates »

SDNY Holds No Attorney-Client Privilege Applies to Communications With In-House Legal Department in China

A US District Court in the Southern District of New York recently ordered Bank of China Limited (BOC) to produce thousands of documents that the court found not to be protected by the attorney-client privilege or work-product…more

Attorney-Client Privilege, China, Confidential Communications, Corporate Counsel

See all updates »

Financial Markets and Funds Quick Take | Issue 33

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds…more

Broker-Dealer, CFTC, EU, Financial Conduct Authority (FCA), Financial Industry Regulatory Authority (FINRA)

See all updates »

Initial Margin Guidance for US Swap End Users

Thanks to recent actions taken by the Commodity Futures Trading Commission (CFTC) and the five US prudential regulators responsible for the uncleared swap margin rules for bank swap dealers, most US end user participants in the…more

CFTC, Derivatives, Major Swap Participants, Swaps

See all updates »