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Results: 1-10 of 1,922

Canadian regulators not high on medical marijuana industry disclosures

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 1 2015

The Canadian Securities Administrators roundly criticized the disclosures of "certain reporting issuers" proposing to enter Canada's medical marijuana

Asset managers warned to avoid conflicts by SEC Asset Management unit Co-Chief

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 1 2015

Julie Riewe, Co-Chief, Asset Management Unit (AMU) for the Division of Enforcement of the Securities and Exchange Commission, discussed the

NY-based broker-dealer sanctioned by FINRA for not having adequate procedures to ensure employee did not trade on insider information

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 1 2015

First New York Securities LLC was fined US $400,000 for failing to have adequate systems and controls to detect insider trading by Kenneth Allen, a

CME Group sanctions firm and traders for wash trades used to transfer positions and another firm for a deficient algorithm

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 1 2015

Cargill de Mexico S.A. de C.V. and two of its employees were fined US $80,000 in aggregate by CME Group for engaging in wash trades on six days

CBOE proposes to offer Extended Trading Hours for SPX and VIX options

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • February 27 2015

The Chicago Board Options Exchange (CBOE) has proposed to offer Extended Trading Hours (ETH) on certain index options contracts. Starting on March 2

Georgia complaint challenges constitutionality of SEC administrative proceedings

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • February 27 2015

A complaint filed in the Northern District of Georgia on February 19 alleges that the Securities and Exchange Commission brings claims in

FINRA sanctions broker-dealer for failing adequately to monitor red flags regarding suspicious trading activity

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • February 22 2015

Cobra Trading, Inc., a broker-dealer, agreed to pay a fine of US $150,000 to the Financial Industry Regulatory Authority to resolve a disciplinary

Broker-dealer fined by SEC for acting in dual, conflicting roles in connection with CDO liquidations

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • February 22 2015

The Securities and Exchange Commission filed and settled an administrative enforcement action against VCAP Securities, LLC, a registered

ESMA publishes additional Consultation Paper on MiFID IIMiFIR implementation

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • February 20 2015

On February 18, the European Securities and Markets Authority (ESMA) published a new consultation paper (CP) on the implementation of the

SEC argues in Second Circuit amicus brief that Dodd-Frank protects inside whistleblowers

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • February 20 2015

On February 6, the Securities Exchange Commission filed an amicus brief advising the United States Court of Appeals for the Second Circuit that the