We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.
In cooperation with Association of Corporate Counsel
  Request new password

Search results

Order by most recent / most popular / relevance

Results: 1-10 of 4,382

Canadian regulators not high on medical marijuana industry disclosures

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 1 2015

The Canadian Securities Administrators roundly criticized the disclosures of "certain reporting issuers" proposing to enter Canada's medical marijuana

Asset managers warned to avoid conflicts by SEC Asset Management unit Co-Chief

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 1 2015

Julie Riewe, Co-Chief, Asset Management Unit (AMU) for the Division of Enforcement of the Securities and Exchange Commission, discussed the

NY-based broker-dealer sanctioned by FINRA for not having adequate procedures to ensure employee did not trade on insider information

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 1 2015

First New York Securities LLC was fined US $400,000 for failing to have adequate systems and controls to detect insider trading by Kenneth Allen, a

Déjà vu all over again: CFTC reopens comment period on position limits and aggregation

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 1 2015

The Commodity Futures Trading Commission re-opened the comment period regarding its latest proposed new rules regarding position limits and

Fed extends to April 3 comment period for proposal to levy capital surcharges for largest banks

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 1 2015

The Board of Governors of the Federal Reserve System has extended until April 3 the comment period related to its proposed implementation of

Court rules CFTC lawsuit against multiple clients' attorney may proceed

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 1 2015

A US federal court in Florida declined to dismiss a complaint filed by the Commodity Futures Trading Commission that alleged that Jay Grossman, an

CME Group sanctions firm and traders for wash trades used to transfer positions and another firm for a deficient algorithm

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 1 2015

Cargill de Mexico S.A. de C.V. and two of its employees were fined US $80,000 in aggregate by CME Group for engaging in wash trades on six days

CBOE proposes to offer Extended Trading Hours for SPX and VIX options

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • February 27 2015

The Chicago Board Options Exchange (CBOE) has proposed to offer Extended Trading Hours (ETH) on certain index options contracts. Starting on March 2

Delaware court grants petition to dissolve joint ventures

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • February 27 2015

Earlier this month, the Delaware Chancery Court offered further guidance on 8 Del. C. 273, which establishes a mechanism for the dissolution of a

CFTC staff to host public roundtable on recovery and orderly wind-down of DCOs

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • February 27 2015

Commodity Futures Trading Commission staff will host a public roundtable discussion on March 5 on issues related to the recovery and orderly