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Results: 1-10 of 1,698

SEC issues FAQs on rule 15c3-5 for broker dealers with market access

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 18 2014

On April 15, the Securities and Exchange Commission's Division of Trading and Markets issued guidance in the form of 19 frequently asked questions

SEC alleges insider trading by two friends in advance of the acquisition of the Shaw Group Inc.

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 18 2014

On April 3, the Securities and Exchange Commission brought a lawsuit against Walter Wagner and Alexander Osborn, alleging that the two friends

FINRA proposes rule 2081 to prohibit “bargained-for” expungements

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 18 2014

The Financial Industry Regulatory Authority, Inc. (FINRA) filed a proposed rule change with the Securities and Exchange Commission to adopt FINRA

US Court of Appeals for the District of Columbia circuit partially invalidates conflict minerals rule

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 18 2014

On April 14, the US Court of Appeals for the District of Columbia Circuit issued an opinion in the lawsuit challenging the Securities and Exchange

SEC brings lawsuit against hedge fund manager for defrauding investors

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 18 2014

On April 4, the Securities and Exchange Commission filed a complaint against Matthew D. Sample, founder of hedge fund Lobo Volatility Fund, LLC, for

Foreign Listed Stock Index Futures and Options Approval

  • Katten Muchin Rosenman LLP
  • -
  • European Union, USA
  • -
  • April 16 2014

Attached please find the updated Foreign Listed Stock Index Futures and Options Approvals Chart, current as of April 16, 2014. All prior versions are

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

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