Jack A. WestAssociateKatten Websitekatten.comOrganization ProfileFull ProfileConnectEmail312-902-5463 Professional Biography Jack West is an associate in the Financial Markets and Funds practice. More Legal and Business Bylines From Jack A. West SEC Small Business Capital Formation Advisory Committee to Discuss Opportunities for Underrepresented Founders and Investors - (Posted On Friday, April 30, 2021) Upcoming Effective Date of FINRA Rules Regarding Brokers With a Significant History of Misconduct - (Posted On Friday, April 30, 2021) Alex Oh Resigns From SEC; Melissa Hodgman Named Acting Director of Enforcement - (Posted On Friday, April 30, 2021) NFA Issues Notice Regarding Effective Date of Interpretive Notice on Use of Third-Party Service Providers - (Posted On Friday, March 26, 2021) FINRA Releases Regulatory Notice on Policies and Procedures Relating to Fraud Involving Low-Priced Securities - (Posted On Friday, February 12, 2021) NFA Issues Notice to Members Regarding Compliance Date for Swaps Proficiency Requirements - (Posted On Friday, January 08, 2021) CFTC Staff Provides Temporary Relief to Futures Commission Merchants Regarding Certain SOFR-Linked Investments - (Posted On Friday, January 08, 2021) CFTC and ESMA Sign Enhanced MOU Related to Certain Recognized Central Counterparties - (Posted On Friday, January 08, 2021) CFTC Final Rules Related to Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants & Related to SEFs and Withdraws Comprehensive Proposals - (Posted On Friday, December 11, 2020) NFA Issues Notice to Members Regarding Compliance Date Swaps Proficiency Requirements - (Posted On Friday, December 11, 2020) Pagination Page 1 Next page Next › Current Legal Analysis Regulatory Update and Recent SEC Actions April 2024 by: Thomas R. Westle Justice Department has Opportunity to Revolutionize its Enforcement Efforts with Whistleblower Program by: Stephen M. Kohn PTO Cash-Outs and Constructive Receipt by: Al Ward , Kirsten L. Vignec Business Taxation of Hedging Transactions Part III: Identification Requirements and Aggregate Hedging by: Andie Kramer Misapplication of Complete Auto by: Nicole L. Johnson Upcoming Legal Education Events Jun 4 2024 FinTech and Securities Trading Platforms May 15 2024 Capital Connect: Finance & Funding in Life Sciences May 14 2024 Harmonizing TSCA Consent Orders with OSHA HCS 2012 May 7 2024 FinTech and Employment Law Print