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FINRA seeks comment on proposal requiring registration of associated persons who develop algorithmic trading strategies

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 26 2015

As part of its ongoing market structure initiatives related to, among other things, automated trading activities, the Financial Industry Regulatory

FINRA fines broker-dealer for failing to act on red flags and prevent theft by identity thief

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 22 2015

optionsExpress, Inc. (OX), a subsidiary of Charles Schwab Corporation, was fined US $150,000 by the Financial Industry Regulatory Authority for

US and NYS settle with BNYM over alleged FX price quality misrepresentations

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 22 2015

Bank of New York Mellon agreed to pay a total of US $714 million to resolve civil lawsuits and investigations by the United States Attorney for the

FINRA proposes registration of broker-dealers’ algorithmic trading programs’ principal developers and supervisors

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 22 2015

The Financial Industry Regulatory Authority has proposed to require the registration of personnel at member firms who are principally responsible for

FINRA issues notice on background checks for registration applicants

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 20 2015

The Financial Industry Regulatory Authority (FINRA) released Regulatory Notice 15-05 to remind member firms of the new consolidated rules on

SEC approves ISE Rules on information barriers between customer and proprietary business

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 20 2015

On March 17, the Securities and Exchange Commission approved amendments to the information barrier rule of the International Securities Exchange, LLC

SEC staff issues new FAQs on Regulation SHO

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 20 2015

On March 17, the staff of the Securities and Exchange Commission's Division of Trading and Markets (Staff) issued three new frequently asked

SEC charges insiders for failure to update schedule 13D disclosures

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 20 2015

On March 13, the Securities and Exchange Commission charged eight officers, directors and major shareholders for failing to update material changes

UBS fined US $500,000 by FINRA for not reporting salespersons’ tax liens and judgments

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 15 2015

UBS Financial Services, Inc. agreed to pay a fine of US $500,000 to the Financial Industry Regulatory Authority related to its alleged failure from

HTG capital files lawsuit to identify alleged spoofer

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 15 2015

HTG Capital Partners, LLC, filed a lawsuit in a federal court in Chicago against unnamed defendants, claiming they engaged in spoofing and