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Results: 1-10 of 1,737

SEC issues guidance on proxy voting

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • July 25 2014

The Security and Exchange Commission's Divisions of Investment Management and Corporation Finance issued Staff Legal Bulletin No. 20 (IMCF) on June

District Court reaffirms Rule 10b5-1 standard and denies motion to dismiss insider trading charges

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • July 25 2014

The US District Court for the Northern District of Illinois denied a motion to dismiss a 16-count indictment for insider trading, finding the

SEC settles third-party insider trading claim against investor relations executive

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • July 25 2014

The Securities and Exchange Commission recently announced a settlement with a partner at an investor relations firm who allegedly traded on inside

SEC approves FINRA Rule limiting expungement

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • July 25 2014

On July 22, the Securities and Exchange Commission authorized the Financial Industry Regulatory Authority, Inc. to implement FINRA Rule 2081

FINRA proposes to adopt rules on quotation requirements for OTC equity securities

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • July 18 2014

The Financial Industry Regulatory Authority, Inc. is proposing to adopt rules governing the quotation requirements applicable to over-the-counter

SEC adopts first installment of rules for cross-border security-based swap activity

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

On June 25, 2014, the Securities and Exchange Commission (SEC) re-started its rulemaking for security-based swaps (SBS) under Title VII of the

FINRA to conduct targeted examinations regarding order routing and execution quality of customer orders in exchange-listed stocks

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • July 15 2014

The Financial Industry Regulatory Authority, Inc.'s Market Regulation Department has issued a targeted examination letter dated July 2014 to certain

SEC focuses on burgeoning liquid alternative funds market

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

Registered investment companies that pursue alternative investment strategies (also referred to as "liquid alts") are a relatively new form of

SEC Division of Corporation Finance issues C&DIs relating to accredited investor verification methods

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

On July 3, the Securities and Exchange Commission's Division of Corporation Finance issued six new Compliance and Disclosure Interpretations (C&DIs

New York jury acquits former hedge fund manager of insider trading conspiracy

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

In the first case of approximately 81 insider cases that the S.D.N.Y. has successfully brought alleging insider trading, a New York federal jury