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Results: 1-10 of 1,805

Investment advisor compliance officer charged by SEC for altering document related to insider trading probe

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 19 2014

The Securities and Exchange Commission has commenced an administrative action against Judy Wolf, a former compliance consultant to Wells Fargo

CFTC makes self-executing and expands certain relief related to delegating CPOs

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 19 2014

The Commodity Futures Trading Commission made self-executing and somewhat expanded previously granted relief from registration requirements to

Research analyst tweeter is fined by FINRA for not tweeting about personal stock holdings

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 19 2014

Jon Hickman, a former research analyst with MDB Capital Group LLC, was fined by the Financial Industry Regulatory Authority for making

High-frequency trading firm pays us $1 million for serving too much “Gravy” on the close from June to December 2009

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 19 2014

Athena Capital Research, LLC, a New York City-based high-frequency trading firm, settled charges brought by the Securities and Exchange Commission

Priorities emerge in SEC enforcement’s look back at 2014 activities

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 19 2014

The Securities and Exchange Commission issued a press release extolling its enforcement accomplishments during its just-ended fiscal year 2014. Among

SEC Investor Advisory Committee releases recommendations on changes to accredited investor definition

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 17 2014

On October 9, the Investor Advisory Committee (Committee) established by the Securities and Exchange Commission released its recommendations for

FINRA proposes to revise implementation date for Supplemental Inventory Schedule

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 17 2014

On October 10, the Financial Industry Regulatory Authority, Inc. proposed a rule change to revise the implementation date for the Supplemental

ISE proposes to amend rules regarding information barriers between customer and proprietary businesses

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 17 2014

On September 30, the International Securities Exchange, LLC (ISE) proposed amendments to ISE Rules 810 (Limitations on Dealings) and 717 (Limitations

ISS releases 2015 draft voting policy changes for comment

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 17 2014

On October 15, Institutional Shareholder Services (ISS), a leading proxy advisory firm, released for comment draft voting policy changes for 2015. The

Investment adviser challenges constitutionality of SEC administrative proceedings

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 17 2014

A registered investment adviser and its principal recently sued the Securities and Exchange Commission for declaratory and injunctive relief to stave