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Results: 1-10 of 1,841

Steak and potatoes please but hold the insider tips; former public company CEO charged with passing material nonpublic information to favorite restaurant manager

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 23 2014

The Securities and Exchange Commission filed a complaint in a federal court in New York against the former chief executive officer and member of the

CME Group sanctions member for not having adequate controls to prevent automated trading system erroneous response to bad data

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 23 2014

Credit Suisse Securities (USA) LLC settled a disciplinary action brought by the CME Group for a January 30, 2012 incident where the firm's automated

CME Group fines trader for spoofing-type offense

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 23 2014

Shlomi Salant agreed to pay a fine of US $30,000 and serve a 10-day trading suspension related to allegations by the Chicago Board of Trade that he

FINRA and the MSRB release companion proposals that would require additional disclosures for transactions in fixed income securities

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 21 2014

On November 17, the Financial Industry Regulatory Authority, Inc. and the Municipal Securities Rulemaking Board (MSRB) released companion proposals

US Court of Appeals for the District of Columbia Circuit grants petition for rehearing of decision on conflicts minerals rule

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 21 2014

On November 18, the US Court of Appeals for the District of Columbia Circuit granted the petitions of the Securities Exchange Commission and Amnesty

SEC adopts Regulation Systems Compliance and Integrity rules

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 21 2014

On November 19, the Securities and Exchange Commission adopted new Regulation Systems Compliance and Integrity (Regulation SCI), a set of rules

FINRA seeks comments on pay to play proposal

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 16 2014

The Financial Industry Regulatory Authority seeks comments on a proposed rule modeled after a similar Securities and Exchange Commission regulation

Broker-dealer penalized US $325,000 by FINRA for misconduct related to the sale of unregistered shares

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 16 2014

Burt Martin Arnold Securities, Inc., a small Los Angeles-based broker-dealer, was sanctioned by the Financial Industry Regulatory Authority in

CBOE makes enhancements to its Market-Maker Trade Notification system

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

The Chicago Board Options Exchange (CBOE) has issued Regulatory Circular RG14-155 regarding enhancements to its Market-Maker Trade Notification

Proxy advisory firms release policy updates for 2015

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

Institutional Shareholder Services (ISS) and Glass Lewis, two leading proxy advisory firms, recently published their 2015 proxy voting guidelines for