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Results: 1-10 of 1,795

NYSE to resume market surveillance, investigation and enforcement functions

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

NYSE Group announced last week that NYSE Regulation would take over Market Surveillance, investigation and enforcement activities for NYSE Group's

Hedge fund manager sanctioned for defrauding investors by hiding Madoff losses and theft

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

A federal judge ordered Nikolai Battoo and two companies he controlled, BC Capital Group S.A. (Panama) and BC Capital Group (Hong Kong) Limited, to

ETrade subsidiaries fined by SEC for selling penny stocks through unregistered offerings

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

Two subsidiaries of ETrade Financial CorporationETrade Securities, LLC and G1 Execution Service, LLCwere sanctioned by the Securities

Inspector General reports missing SEC laptops potentially containing confidential information

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

The Securities and Exchange Commission's Office of Inspector General issued an audit report that claimed that over 200 laptop computers in locations

FINRA proposes to extend Tier Size Pilot for OTC Equity Securities

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 10 2014

On October 3, the Financial Industry Regulatory Authority, Inc. proposed to amend FINRA Rule 6433 to extend to February 13, 2015, the operation of

SEC Division of Corporation Finance issues new C&DI related to Rule 147 and websitesocial media use

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 10 2014

On October 2, the Securities and Exchange Commission’s Division of Corporation Finance issued a new Compliance and Disclosure Interpretation (C&DI

Fifth Circuit holds multiple disclosures establish loss causation in securities action

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 10 2014

The US Court of Appeals for the Fifth Circuit recently held that multiple partial “corrective” disclosures collectively may satisfy the requirements

FINRA postpones rules on MPID requirements for ATSs

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 10 2014

On October 2, the Financial Industry Regulatory Authority, Inc. postponed the implementation date of the Market Participant Identifier (MPID

Director of SEC Division of Corporation Finance gives speech on securities disclosure

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 10 2014

On October 3, the Director of the Securities and Exchange Commission’s Division of Corporation Finance (Division), Keith F. Higgins, spoke at the

District court dismisses securities class action for failure to show causal connection

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 10 2014

The US District Court for the Southern District of New York recently dismissed a securities class action against a battery manufacturer, finding that