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Results: 1-10 of 4,073

Buy- and sell-side industry organizations propose form of template for broker-dealer minimum disclosure of order routing and execution quality information

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 26 2014

Buy- and sell-side industry organizations have developed and provided to the Securities and Exchange Commission for its consideration a proposed

Six federal agencies adopt final rules regarding skin in the game for sponsors of certain asset-backed securities

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 26 2014

Six federal agencies adopted final rules imposing risk retention requirements on originators of certain asset-backed securities, as required by the

SIFMA proposes cybersecurity regulatory guidance

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 26 2014

The Securities Industry and Financial Markets Association proposed 10 principles to help encourage a partnership between financial regulators and the

CFTC staff says it’s ok for FCMs to credit margin payments of certain clients when sent, rather than when received; also provides guidance on certain residual interest matters

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 26 2014

Commodity Futures Trading Commission staff issued guidance authorizing a futures commission merchant to credit a customer's account for a margin

SIFMA asks for further delay in trade execution requirement for package transactions

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 26 2014

The Asset Management Group of the Securities Industry and Financial Markets Association has requested the Commodity Futures Trading Commission to

SEC issues investor bulletin regarding enforcement investigations

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 26 2014

The Securities and Exchange Commission published an Investor Bulletin providing a general overview of its Division of Enforcement's investigation

CEO of member firm charged by FINRA with failing to update personal registration information to disclose tax liens

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 26 2014

The Financial Industry Regulatory Authority filed a disciplinary action against Robert Eide for failing to update his personal registration records

Senior fed officials encourage financial industry firms to improve compliance culture

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 26 2014

Enhancing culture was the theme at a workshop on "Reforming Culture and Behavior in the Financial Services Industry" held at the Federal Reserve Bank

Merrill Lynch sanctioned by FINRA for not monitoring non-US dollar-denominated customer securities transactions for wash sales

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 26 2014

Merrill Lynch, Pierce, Fenner & Smith Incorporated agreed to pay a fine of US $250,000 to the Financial Industry Regulatory Authority related to

CFTC proposes more specific standards to bar accountants from practicing before it

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 26 2014

The Commodity Futures Trading Commission proposes to amend one of its rules (Rule 14.8) to provide more guidance regarding the circumstances when