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Results: 1-10 of 1,886

Cybersecurity, potential equity order routing conflicts and AML among the top examination priorities for SEC in 2015

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 18 2015

The Securities and Exchange Commission's Office of Compliance Inspections and Examinations published its priorities for examinations of investment

In life as in literature: The Big Short featured investment adviser misled investors says SEC administrative law judge

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 18 2015

Harding Advisory LLC and Wing Chau, two of the subjects in Michael Lewis' The Big Short: Inside the Doomsday Machine, were held liable last week in

Two legacy exchanges previously owned by Direct Edge Holdings settle charges for not fully describing order types to SEC

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 18 2015

Two exchanges registered with the Securities and Exchange CommissionEDGA Exchange, Inc. and EDGX Exchange, Inc.agreed to pay US $14 million to

Canadian citizen charged by SEC with unlawful layering involving traders in China and Korea

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 18 2015

The Securities and Exchange Commission filed a civil action in the US federal court in New Jersey against Aleksandr Milrud, claiming that he engaged

SEC proposes reporting regime for security-based swaps

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 18 2015

The Securities and Exchange Commission adopted two rules requiring security-based swap depositories to register with it, and enumerating such SDRs'

SEC 2015 examination priorities focus on liquid alternatives and fixed-income funds

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 16 2015

On January 13, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) released its 2015 examination

Government seeks extended prison term in securities fraud case

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 16 2015

In a sentencing memorandum filed January 2, the United States Attorney’s Office in Washington asked the US District Court for the Western District of

ICE Futures Europe to adopt another variation of disruptive trading practices rule

  • Katten Muchin Rosenman LLP
  • -
  • European Union, USA
  • -
  • January 11 2015

On January 2, ICE Futures Europe published new rules prohibiting disruptive trading practices that are similar to rules previously proposed by ICE

FINRA highlights member examinations focus for 2015

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 11 2015

The Financial Industry Regulatory Authority issued its annual letter to broker-dealers setting forth its regulation and examination priorities for

SEC proposes rule amendments to implement JOBS Act registration thresholds

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 9 2015

On December 18, 2014, the Securities and Exchange Commission proposed rule amendments that, if adopted, would modify SEC rules governing registration