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FINRA proposes rules affecting broker-dealers participating in private placements
- Katten Muchin Rosenman LLP
- -
- USA
- -
- January 14 2011
The Securities and Exchange Commission is requesting comments on a proposal to expand Financial Industry Regulatory Authority Rule 5122 to apply to all private placements in which a member firm participates, not just those in which the member firm (or its control entity) is the issuer
Industry groups respond to DOJ recommendation regarding tighter ownership restrictions for DCMs, DCOs and SEFs
- Katten Muchin Rosenman LLP
- -
- USA
- -
- January 14 2011
The ABA Securities Association, the Clearing House Association, the Financial Services Roundtable, the Futures Industry Association, the International Swaps and Derivatives Association, and the Securities Industry and Financial Markets Association (the Industry Groups) have submitted a comment letter with the Commodity Futures Trading Commission in response to a comment letter submitted by the U.S. Department of Justice (DOJ) urging the implementation of more-stringent rules relating to ownership and conflicts of interest for designated contract markets (DCMs), derivatives clearing organizations (DCOs) and swap execution facilities (SEFs
Suits filed in connection with Madoff feeder funds
- Katten Muchin Rosenman LLP
- -
- USA
- -
- April 10 2009
On April 6, New York State Attorney General Andrew Cuomo filed suit against Gabriel Capital Corporation (GCC) and its principal, J. Ezra Merkin, in connection with investments by GCC-advised hedge funds with Bernard Madoff
SEC proceedings in connection with recommendations to invest in Bayou
- Katten Muchin Rosenman LLP
- -
- USA
- -
- April 24 2009
On April 22, the Securities and Exchange Commission issued an Order Instituting Administrative Cease-And-Desist Proceedings in the matter of Hennessee Group LLC and its principal, Charles Gradante, in connection with Hennessee’s recommendations to clients to invest in the Bayou funds
CalPERS issues hedge fund “governance” memorandum
- Katten Muchin Rosenman LLP
- -
- USA
- -
- April 24 2009
The California Public Employees' Retirement System (CalPERS) has issued a Memorandum to hedge funds in which the CalPERS Risk Managed Absolute Return Strategies (RMARS) program invests
SEC approves consolidated know-your-customer and suitability rules
- Katten Muchin Rosenman LLP
- -
- USA
- -
- January 14 2011
The Securities and Exchange Commission has approved the Financial Industry Regulatory Authority's proposal to adopt consolidated rules governing know-your-customer and suitability obligations
FINRA expands OATS to all NMS stocks
- Katten Muchin Rosenman LLP
- -
- USA
- -
- January 14 2011
Beginning July 11, the Financial Industry Regulatory Authority will begin phasing in the expansion of the Order Audit Trail System (OATS) rules to include orders for all national market system (NMS) stocks
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