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Results: 1-10 of 1,815

Buy- and sell-side industry organizations propose form of template for broker-dealer minimum disclosure of order routing and execution quality information

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 26 2014

Buy- and sell-side industry organizations have developed and provided to the Securities and Exchange Commission for its consideration a proposed

SIFMA proposes cybersecurity regulatory guidance

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 26 2014

The Securities Industry and Financial Markets Association proposed 10 principles to help encourage a partnership between financial regulators and the

SEC issues investor bulletin regarding enforcement investigations

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 26 2014

The Securities and Exchange Commission published an Investor Bulletin providing a general overview of its Division of Enforcement's investigation

CEO of member firm charged by FINRA with failing to update personal registration information to disclose tax liens

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 26 2014

The Financial Industry Regulatory Authority filed a disciplinary action against Robert Eide for failing to update his personal registration records

Merrill Lynch sanctioned by FINRA for not monitoring non-US dollar-denominated customer securities transactions for wash sales

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 26 2014

Merrill Lynch, Pierce, Fenner & Smith Incorporated agreed to pay a fine of US $250,000 to the Financial Industry Regulatory Authority related to

SEC sanctions Athena in first high-frequency trading manipulation case

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 24 2014

On October 16, in a groundbreaking trading manipulation case, the Securities and Exchange Commission entered an Order instituting a settled

Recap and update: AIFM Directive for US private fund managers

  • Katten Muchin Rosenman LLP
  • -
  • European Union, USA
  • -
  • October 24 2014

After a long period of debate and implementation, the Alternative Investment Fund Managers Directive1 (“AIFM Directive”) is law in all EU

SEC denies two proposed applications for non-transparent active ETFs

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 24 2014

The Division of Investment Management (Division) of the Securities and Exchange Commission took an unprecedented action on Wednesday in issuing a

FINRA remarks at the National Society of Compliance Professionals conference

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 24 2014

On October 20, Carlo di Florio, chief risk officer and head of strategy of the Financial Industry Regulatory Authority, gave a speech at the National

SEC announces record number of enforcement actions in FY 2014

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 24 2014

Last week, the Securities and Exchange Commission provided a summary of its enforcement activities for its fiscal year 2014 (ending in September