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Results: 1-10 of 1,571

FINRA issues interpretive guidance on use of back tested index data by ETPs

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • May 17 2013

On April 22, the Financial Industry Regulatory Authority, Inc. issued to ALPS Distributors, Inc. interpretive guidance with respect to FINRA Rule

FINRA provides guidance on communications with the public concerning unlisted real estate investment programs

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • May 10 2013

The Financial Industry Regulatory Authority (FINRA) has issued Regulatory Notice 13-18 (Regulatory Notice) to provide guidance to member firms on

SEC roundtable discusses current securities law topics at 33rd Annual Ray Garrett Jr. Corporate and Securities Law Institute

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • May 10 2013

On May 2, Lona Nallengara and Shelley E. Parratt, the acting director and the deputy director, respectively, of the Securities and Exchange

SEC issues proposal regarding cross-border security-based swap activities

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • May 3 2013

On May 1, the Securities and Exchange Commission proposed rules and interpretive guidance with respect to cross-border security-based swap activities

Gaming company’s regulatory delays insufficient to give rise to a securities fraud claim

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • May 3 2013

The US District Court for the Northern District of Illinois dismissed securities fraud claims against WMS Industries (WMS), a gaming and slot machine

Delaware court dismisses securities fraud action against power plant executives

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • May 3 2013

The US District Court for the District of Delaware dismissed a class action for securities fraud against former officers and directors of a

FINRA and ISG extend effective date for certain Electronic Blue Sheet data elements

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 19 2013

The Securities and Exchange Commission recently extended the compliance date for the broker-dealer recordkeeping, reporting and monitoring

SEC and CFTC adopt joint rules to help protect investors from identity theft

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 12 2013

The Securities and Exchange Commission, jointly with the Commodity Futures Trading Commission, adopted rules and guidelines to require certain

Court finds Section 15(a) of the Exchange Act only applicable in domestic transactions

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 12 2013

The US District Court for the Northern District of Illinois recently granted defendants' motion to dismiss one count of a Securities and Exchange

CME block trade advisories clarify nonpublic information restrictions

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 12 2013

In two recent market regulation advisory notices (RA1303-3 and RA1307-4), CME Group clarified its rules regarding the disclosure and use of nonpublic

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