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Results: 1-10 of 1,834

FINRA seeks comments on pay to play proposal

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

The Financial Industry Regulatory Authority seeks comments on a proposed rule modeled after a similar Securities and Exchange Commission regulation

Broker-dealer penalized US $325,000 by FINRA for misconduct related to the sale of unregistered shares

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

Burt Martin Arnold Securities, Inc., a small Los Angeles-based broker-dealer, was sanctioned by the Financial Industry Regulatory Authority in

CBOE makes enhancements to its Market-Maker Trade Notification system

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

The Chicago Board Options Exchange (CBOE) has issued Regulatory Circular RG14-155 regarding enhancements to its Market-Maker Trade Notification

Recent key Bitcoin and virtual currency regulatory and law enforcement developments

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 13 2014

In recent months, US federal and state regulators have continued to focus on Bitcoin and the adoption of a regulatory framework for it and other

FINRA's new consolidated supervision rules: a roadmap to compliance

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

The Financial Industry Regulatory Authority (FINRA) has adopted comprehensive new consolidated rules regarding supervision of member firms' activities

SEC fines 13 firms for selling Puerto Rico junk bonds to retail investors in less than minimum increments

  • Katten Muchin Rosenman LLP
  • -
  • Puerto Rico, USA
  • -
  • November 9 2014

The Securities and Exchange Commission fined 13 firms in excess of US $850,000 for selling to retail clients non-investment grade or so-called "junk"

FINRA adds a category of persons to serve on disciplinary hearings

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 7 2014

The Financial Industry Regulatory Authority amended FINRA Rules 9231 and 9232 to add a category of persons eligible to serve as panelists in a

SEC Investment Management director speech focuses on alternative mutual fund disclosures

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 7 2014

On October 29, Norm Champ, the director of the Securities and Exchange Commission’s Division of Investment Management, spoke before the SIFMA Complex

SEC approves new exchange traded mutual fund structure

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 7 2014

The Securities and Exchange Commission has noticed Eaton Vance Corp.'s exemptive order application (Eaton Vance Notice) to offer a novel form of

SEC sanctions 10 companies for disclosure failures surrounding financing deals and stock dilution

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 7 2014

On November 5, the Securities and Exchange Commission announced enforcement actions against 10 companies for failing to make the required disclosures