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Results: 1-10 of 3,766

SEC issues new FAQs on conflict minerals

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 11 2014

On April 7, the Division of Corporation Finance of the Securities and Exchange Commission issued nine new responses to frequently asked questions

SEC obtains settlement for violations of registration rules and “layering”

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 11 2014

The Securities and Exchange Commission recently announced a settlement with two brokerage firms and certain of their executives for improper

Banking Agencies adopt enhanced supplementary leverage ratio final rule

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 11 2014

On April 8, the Federal Reserve Board, the Federal Deposit Insurance Corporation (FDIC), and the Office of the Comptroller of the Currency (OCC

FINRA requests comment on rules regarding communications with the public and gifts, gratuities and non-cash compensation

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 11 2014

The Financial Industry Regulatory Authority (FINRA) has issued Regulatory Notice 14-14 and Regulatory Notice 14-15 announcing that it will initiate a

SEC issues frequently asked questions regarding the amendments to the Broker-Dealer Reporting Rule

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 11 2014

The Securities and Exchange Commission's Division of Trading and Markets has issued frequently asked questions (FAQ) concerning the amendments

Federal Reserve extends compliance deadline for CLOs

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 11 2014

On April 7, the Federal Reserve Board (Board) announced that it intends to exercise its authority to give banking entities two additional one-year

Foreign judgment in criminal fraud action enforceable in New York

  • Katten Muchin Rosenman LLP
  • -
  • Czech Republic, USA
  • -
  • April 11 2014

A New York Appellate Court held for the first time that a judgment issued by a foreign country's criminal court awarding monetary compensation to a

SDNY dismisses False Claims Act complaint, finding relators misconstrued Medicaid program legal framework

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 11 2014

A False Claims Act case against the New York City Department of Education (NYCDOE) was dismissed on March 25, the district court holding that

CFTC seeks comments on ICE Clear Europe Petition

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 11 2014

On April 7, the Commodity Futures Trading Commission requested public comment on a petition submitted by ICE Clear Europe Limited (ICE Clear Europe

CFTC extends relief to FCMs from certain commingling requirements

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 11 2014

On April 7, the Commodity Futures Trading Commission's Division of Swap Dealer and Intermediary Oversight (DSIO) issued CFTC No-Action Letter No