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Results: 1-10 of 3,870

SEC issues guidance on proxy voting

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • July 25 2014

The Security and Exchange Commission's Divisions of Investment Management and Corporation Finance issued Staff Legal Bulletin No. 20 (IMCF) on June

District Court reaffirms Rule 10b5-1 standard and denies motion to dismiss insider trading charges

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • July 25 2014

The US District Court for the Northern District of Illinois denied a motion to dismiss a 16-count indictment for insider trading, finding the

CFTC issues no-action relief from certain ownership and control reporting requirements

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • July 25 2014

On November 18, the Commodity Futures Trading Commission adopted rules modifying its ownership and control reporting requirements. Specifically, the

CFTC releases rule enforcement review of ICE Futures U.S.

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • July 25 2014

On July 22, the Commodity Futures Trading Commission released the Division of Market Oversight's rule enforcement review of ICE Futures U.S. The rule

SEC settles third-party insider trading claim against investor relations executive

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • July 25 2014

The Securities and Exchange Commission recently announced a settlement with a partner at an investor relations firm who allegedly traded on inside

SEC approves FINRA Rule limiting expungement

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • July 25 2014

On July 22, the Securities and Exchange Commission authorized the Financial Industry Regulatory Authority, Inc. to implement FINRA Rule 2081

CFTC seeks comment on ICE Clear Europe portfolio margining proposal

  • Katten Muchin Rosenman LLP
  • -
  • European Union, USA
  • -
  • July 18 2014

The Commodity Futures Trading Commission has requested public comment on a petition submitted by ICE Clear Europe Limited to amend an order issued by

FDIC proposes changes to assessments rule

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • July 18 2014

On July 15, the Federal Deposit Insurance Corporation (FDIC) proposed (1) to revise the ratios and ratio thresholds for capital evaluations used in

New York DFS proposes first comprehensive regulatory framework for virtual currency businesses

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • July 18 2014

On July 17, the New York State Department of Financial Services (DFS) released the draft "BitLicense," a proposed regulatory framework to license

FINRA proposes to adopt rules on quotation requirements for OTC equity securities

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • July 18 2014

The Financial Industry Regulatory Authority, Inc. is proposing to adopt rules governing the quotation requirements applicable to over-the-counter