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Results: 1-10 of 1,947

Establishing common issues of loss causation not required to certify class

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 4 2008

Granting plaintiffs’ motion for class certification in a securities fraud action, a federal district court held, among other things, that for purposes of their motion plaintiffs did not have to demonstrate common issues of loss causation

Securities claims dismissed for failure to satisfactorily plead scienter

  • Katten Muchin Rosenman LLP
  • -
  • South Africa
  • -
  • February 9 2007

Plaintiffs’ federal securities law class action complaint alleged that defendant, a mining company, made false and misleading statements in press releases and quarterly statements concerning the viability of the restructuring of its North West Operations (NWO) in South Africa, which accounted for a significant part of its business

FSA publishes 2007-2008 business plan

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • February 9 2007

The UK Financial Services Authority (FSA) published its 2007-2008 Business Plan on February 6

Changes proposed to frequency of short interest reporting

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • February 9 2007

The National Association of Securities Dealers, Inc. (NASD), the New York Stock Exchange LLC (NYSE) and the American Stock Exchange LLC (AMEX) filed with the Securities and Exchange Commission proposed rule changes to increase the frequency of the short interest reporting requirements from monthly to twice per month

Counter claimant unable to pierce corporate veil

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • February 2 2007

Plaintiff corporation (ENI), the owner and publisher of a nutritional newsletter and related trademark, entered into an Asset Purchase Agreement providing for Defendant’s purchase of ENI’s assets, including all of its rights in and to the newsletter and trademark

SEC publishes text of RAND report

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 4 2008

On January 3, the Securities and Exchange Commission published the text of the RAND Corporation’s final report on customer relationships with financial services providers

Federal court dismissed securities fraud claims

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 4 2008

Dismissing plaintiff corporation’s securities fraud action, a district court held, among other things, that plaintiff failed to plead scienter with the particularity required by the Private Securities Litigation Reform Act (PSLRA

FSA issues policy statement on listing investment entities

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • December 14 2007

On December 7, the UK Financial Services Authority (FSA) published its policy statement PS0720 containing its final rules following three rounds of consultations in connection with its Investment Entities Listing Review

SEC approves sale of the International Stock Exchange to Eurex Frankfurt

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 4 2008

The Securities and Exchange Commission has approved an Agreement and Plan of Merger that will make International Securities Exchange Holdings, Inc., parent of the International Stock Exchange, a wholly owned subsidiary of Eurex Frankfurt, itself a subsidiary of other upstream owners

Guidance for preparing CPO annual financial reports published

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • February 9 2007

Intermediary Oversight has published its annual guidance letter to assist registered commodity pool operators (CPOs) and their accountants in preparing and filing required CPO annual financial reports

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