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Results: 1-10 of 561

FINRA to Be Target of Enhanced SEC Inspection Focus in 2017
  • Katten Muchin Rosenman LLP
  • USA
  • January 16 2017

The Securities and Exchange Commission's Office of Compliance Inspections and Examinations issued its 2017 priorities that included its plan to


Broker-Dealer Resolves SEC Charges That It Misled Broker-Dealer Clients Regarding How It Would Price Their Retail Customers' Orders
  • Katten Muchin Rosenman LLP
  • USA
  • January 16 2017

Citadel Securities LLC agreed to pay sanctions of US $22.6 million to settle charges brought by the Securities and Exchange Commission related to the


Singapore MAS Proposes Amendments to Security and Futures to Enhance OTC Regulation and Implement Market Misconduct Prohibitions
  • Katten Muchin Rosenman LLP
  • Singapore
  • January 16 2017

A new bill initially proposed by the Monetary Authority of Singapore aimed at enhancing regulatory protections for retail investors and toughening


Alleged Improper ADR Handling Results in SEC Charges and Settlement
  • Katten Muchin Rosenman LLP
  • USA
  • January 16 2017

ITG Inc. agreed to pay a fine and disgorgement totaling US $24.4 million to settle charges brought by the Securities and Exchange Commission that it


SEC Charges Publicly Traded Global Financial Services Firm With Miscomputing Regulatory Capital
  • Katten Muchin Rosenman LLP
  • USA
  • January 16 2017

The Bank of New York Mellon Corporation agreed to pay a fine of US $6.6 million to resolve charges brought by the Securities and Exchange Commission


2017 Examination Priorities Announced by the SEC
  • Katten Muchin Rosenman LLP
  • USA
  • January 13 2017

On January 12, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) released its 2017 examination


Non-US Traders Criminally and Civilly Charged With Trading on Nonpublic Information Cyber-Hacked From Law Firms
  • Katten Muchin Rosenman LLP
  • USA
  • January 8 2017

At the end of last year, the US Attorney's Office in New York City disclosed that criminal charges had been filed earlier in 2016 against three


Two Companies Charged by SEC for Whistleblower Infractions
  • Katten Muchin Rosenman LLP
  • USA
  • January 8 2017

Two publicly traded companies agreed to settle Securities and Exchange Commission


FINRA Publishes 2017 Regulatory and Examination Priorities Letter
  • Katten Muchin Rosenman LLP
  • USA
  • January 6 2017

On January 4, the Financial Industry Regulatory Authority published its Annual Regulatory and Examinations Letter (Priorities Letter), which outlines


Supreme Court Rules Sharing of Nonpublic Information With Relative Is Sufficient to Find Illegal Insider Trading in TipperTippee Context
  • Katten Muchin Rosenman LLP
  • USA
  • December 11 2016

The United States Supreme Court upheld the conviction of Bassam Salman, who traded profitably on nonpublic information received from a friend, Mounir