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Results: 1-10 of 1,962

SDNY denies motion to dismiss SEC insider trading complaint despite Newman holding

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 17 2015

The US District Court for the Southern District of New York recently denied two defendants’ motion to dismiss a Securities and Exchange Commission

IMF warns even plain vanilla investment funds add systemic risks

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 12 2015

The International Monetary Fund has published a report claiming that even "plain vanilla," non-systemically important investment funds, including

Industry advisory group advocates best practices to avoid disruptive trading of US government debt securities by automated traders

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 12 2015

The Treasury Market Practices Group, a group of industry professionals that support the efficiency of US government securities markets, warned of

SEC seeks comments on cost benefit of rule permitting investment companies to post margin directly with FCMs, not third-party custodians

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 12 2015

The Securities and Exchange Commission is seeking comment on cost-benefit aspects of its rule that authorizes investment companies to maintain assets

Former NFL cornerback and others thrown penalty flag by SEC in connection with alleged Ponzi scheme

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 12 2015

William Allen, a former cornerback for the New York Giants and Miami Dolphins National Football League football teams, and others were charged by the

SEC secures victory on fraud allegations against technology executive

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 10 2015

The US District Court for the District of Columbia took the unusual step of granting summary judgment against a technology company executive who the

Second Circuit refuses to rehear groundbreaking insider trading case

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 10 2015

On April 3, the US Court of Appeals for the Second Circuit denied the request of Preet Bharara, US Attorney for the Southern District of New York

SEC charges investment advisers and owner of misleading investors in funds regarding the poor performance of underlying assets; respondents sue SEC right back

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 5 2015

The Securities and Exchange Commission commenced administrative proceedings against Lynn Tilton, and companies she owns and controls claiming that

FINRA sanctions brokers for inadequate consolidated reports to customers

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 5 2015

The Financial Industry Regulatory Authority sanctioned three firms for not adequately supervising the issuance of consolidated reports of the

CME Group updates audit trail requirements for electronic systems connecting to Globex

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 5 2015

The CME Group revised its audit trail requirements for all entities certified to connect their front-endorder-routing systems with CME Globex