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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

Appropriate cautionary language leads to dismissal of investor’s securities fraud suit

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 4 2014

A California district court recently dismissed Mellanox Technologies Ltd. investors' claims that the company made false statements about both its

SEC requests comment on FINRA rules

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 4 2014

The Securities and Exchange Commission is requesting comments from the public on two proposals from the Financial Industry Regulatory Authority, Inc

Money manager sues SEC to stop administrative action in $1.5 billion CDO case

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 28 2014

A money manager and his firm recently sued the Securities and Exchange Commission claiming that the agency violated their constitutional rights by

SEC roundtable discusses cybersecurity threats and protections against cyberattacks

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 28 2014

On March 26, the Securities and Exchange Commission hosted a roundtable discussion on various cybersecurity topics. Participants at the roundtable

Proposed changes to FINRA classification of hybrid securities for trade reporting purposes

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 28 2014

On March 26, the comment period ended for a Financial Industry Regulatory Authority, Inc. proposed rule change to adopt an interpretation to clarify

FINRA proposes to amend rule 4210

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 28 2014

The Financial Industry Regulatory Authority, Inc. requested comments on amendments to Rule 4210 to establish margin requirements for To Be Announced