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Results: 1-10 of 1,744

SEC’s Office of Investor Education and Advocacy releases Alert on identifying fraudulent private placements

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

On August 4, the Securities and Exchange Commission's Office of Investor Education and Advocacy issued an Investor Alert to assist investors in

District Court considers prior SEC complaint evidence to establish scienter under PSLRA

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

The US District Court for the Southern District of New York recently denied a defendant's motion to dismiss a securities fraud class action

SEC brings fraud charges against oil and gas company and its CEO

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • August 8 2014

On August 4, the Securities and Exchange Commission instituted cease-and-desist proceedings against Houston American Energy Corp., an oil and gas

SEC charges CEO and former CFO with violation of Sarbanes-Oxley

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • August 8 2014

On July 30, the Securities and Exchange Commission charged computer equipment company QSGI Inc's CEO, Marc Sherman, and former CFO, Edward L

Former chief operating officer settles SEC fraud claims

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • August 1 2014

The Securities and Exchange Commission recently announced that Peter Jenson, the former chief operating officer of Harbinger Capital Partners LLC

Amendments to FINRA Rule 2210 regarding communications with the public

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • August 1 2014

Financial Industry Regulatory Authority, Inc. Rule 2210 requires member firms to file certain communications with FINRA's Advertising Regulation

Smith & Wesson pays $2 million to resolve SEC charges

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • August 1 2014

On July 28, Smith & Wesson Holding Corporation, one of the largest gun manufacturers in the United States, agreed to pay more than $2 million to

SEC approves FINRA Rule limiting expungement

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • July 25 2014

On July 22, the Securities and Exchange Commission authorized the Financial Industry Regulatory Authority, Inc. to implement FINRA Rule 2081

SEC settles third-party insider trading claim against investor relations executive

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • July 25 2014

The Securities and Exchange Commission recently announced a settlement with a partner at an investor relations firm who allegedly traded on inside

SEC issues guidance on proxy voting

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • July 25 2014

The Security and Exchange Commission's Divisions of Investment Management and Corporation Finance issued Staff Legal Bulletin No. 20 (IMCF) on June