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 1,861

SEC Chair says commission will address portfolio composition and operational risks by investment funds

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • December 14 2014

Mary Jo White, Chair of the Securities and Exchange Commission, discussed her priorities regarding the SEC's oversight of the registered asset

Operator of non-registered securities trading venues that permitted virtual currency payments fined by SEC

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • December 14 2014

The operator of trading venues for securities that accepted payment for transactions in Bitcoins and Litecoinsvirtual currenciessettled charges

FINRA not playing: fines 10 broker-dealers US $43.5 million for research analyst violations in connection with toys “R” Us initial public offering:

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • December 14 2014

The Financial Industry Regulatory Authority fined 10 broker dealers an aggregate of US $43.5 million for employing equity research analysts as part

Eight audit firms sanctioned by SEC for providing both audit and non-audit services to audit clients

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • December 14 2014

The Securities and Exchange Commission fined eight accounting firms US $140,000 in aggregate for using information from financial documents obtained

While FINRA considers raising $100 current gift limit

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • December 14 2014

As a result of a retrospective review, the Financial Industry Regulatory Authority announced it will be exploring a "combination of guidance and

Appeals court sets aside insider trading convictions saying traders distance from corporate insiders too far

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • December 14 2014

The convictions of two individualsTodd Newman and Anthony Chiassonfor insider trading under United States Securities law was set aside by a federal

‘Tis the season to give and receivebut not too much says the CME Group

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • December 14 2014

The CME Group issued a reminder that its rules prohibit members, member firms, broker associations and their employees from giving gifts or

SEC okay to prosecute cases before administrative tribunals rather than federal courts says US Judge

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • December 14 2014

A United States federal court in New York upheld the right of the Securities and Exchange Commission to bring enforcement actions before an

SEC sanctions operator of unregistered virtual currency exchanges

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • December 12 2014

On December 8, the Securities and Exchange Commission sanctioned a computer programmer for operating two online exchanges that traded securities

SEC approves MSRB Best Execution Rule

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • December 12 2014

On December 5, the Securities and Exchange Commission approved Municipal Securities Rulemaking Board (MSRB) Rule G-18 (Best Execution Rule) that will