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Results: 1-10 of 1,755

Final text of UCITS V is published

  • Katten Muchin Rosenman LLP
  • -
  • European Union, USA
  • -
  • September 5 2014

On August 28, the final text of a Directive to update Directive 200965EC (UCITS IV Directive) on the coordination of laws, regulations and

SEC adopts Regulation AB II

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • September 5 2014

On August 27, the Securities and Exchange Commission at an open meeting unanimously adopted Regulation AB II (Reg AB II). The final rule provides

SEC decreases registration statement filing fees for fiscal year 2015

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • September 5 2014

On August 29, the Securities and Exchange Commission announced that, effective October 1, the fees that public companies and other issuers pay to

Second Circuit decision provides guidance for drafting enforceable broker-dealer agreement forum selection clause

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

On August 21, the US Court of Appeals for the Second Circuit decided two closely watched appeals regarding the intersection of Financial Industry

SEC announces pilot program to widen tick sizes for smaller companies

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • August 29 2014

On August 26, the Securities and Exchange Commission announced that the Financial Industry Regulatory Authority, Inc. and national securities

SEC charges executive with insider trading ahead of client announcements

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • August 29 2014

The Securities and Exchange Commission recently filed a complaint in the US District Court for the Southern District of New York against a director

Second Circuit holds contractual forum selection clause supersedes FINRA mandatory arbitration rule

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • August 29 2014

On August 21, the US Court of Appeals for the Second Circuit decided two closely watched appeals regarding the intersection of Financial Industry

ISS launches new equity plan data verification portal

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • August 22 2014

On August 14, Institutional Shareholders Services Inc. (ISS), a leading proxy advisory firm, announced the launch of a new equity plan data

SEC charges Colorado woman and her two companies with offering fraud

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • August 22 2014

On August 15, the Securities and Exchange Commission filed a complaint against Heidi Ann Gamer and two companies under her control, Gamer Economic

FCA publishes supervisory approach to financial promotions in social media

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • August 22 2014

On August 6, the UK Financial Conduct Authority (FCA) published its guidance consultation on social media and customer communications (Guidance