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Results: 1-10 of 1,733

FINRA proposes to adopt rules on quotation requirements for OTC equity securities

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • July 18 2014

The Financial Industry Regulatory Authority, Inc. is proposing to adopt rules governing the quotation requirements applicable to over-the-counter

SEC adopts first installment of rules for cross-border security-based swap activity

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

On June 25, 2014, the Securities and Exchange Commission (SEC) re-started its rulemaking for security-based swaps (SBS) under Title VII of the

FINRA to conduct targeted examinations regarding order routing and execution quality of customer orders in exchange-listed stocks

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • July 15 2014

The Financial Industry Regulatory Authority, Inc.'s Market Regulation Department has issued a targeted examination letter dated July 2014 to certain

SEC focuses on burgeoning liquid alternative funds market

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

Registered investment companies that pursue alternative investment strategies (also referred to as "liquid alts") are a relatively new form of

SEC Division of Corporation Finance issues C&DIs relating to accredited investor verification methods

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • July 11 2014

On July 3, the Securities and Exchange Commission's Division of Corporation Finance issued six new Compliance and Disclosure Interpretations (C&DIs

New York jury acquits former hedge fund manager of insider trading conspiracy

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • July 11 2014

In the first case of approximately 81 insider cases that the S.D.N.Y. has successfully brought alleging insider trading, a New York federal jury

SEC publishes guidance for investment advisers and proxy advisory firms regarding proxy voting and solicitation

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • July 11 2014

On June 30, the Securities and Exchange Commission's Division of Investment Management and Division of Corporation Finance published Staff Legal

SEC orders securities exchanges and FINRA to develop tick size pilot plan

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • June 27 2014

The Securities and Exchange Commission has issued an order directing certain national securities exchanges and the Financial Industry Regulatory

Supreme Court decides Halliburton Co. v. Erica P. John Fund, Inc.

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • June 27 2014

On June 23, the Supreme Court in Halliburton Co. v. Erica P. John Fund, Inc. held that a securities class action defendant may introduce evidence at

SEC releases guidance on affiliated transactions of series investment companies

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • June 20 2014

On June 6, the Securities and Exchange Commission's Division of Investment Management released a Guidance Update clarifying that separate series of a