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FINRA Files Proposed Rule Amendments With SEC Regarding Disruptive Trading and Expedited Proceedings
  • Katten Muchin Rosenman LLP
  • USA
  • December 4 2016

The Financial Industry Regulatory Authority filed a proposed rule amendment with the Securities and Exchange Commission that expressly prohibits a


Broker-Dealer Sanctioned Over $3.3 Million for Not Making Required Regulator Filings With FINRA and Not Producing Documents in Discovery to Arbitration Claimants
  • Katten Muchin Rosenman LLP
  • USA
  • November 20 2016

Oppenheimer & Co, Inc. agreed to pay a fine of US $1.575 million and remediation payments to customers of US $1.846 million to resolve a Disciplinary


Bank Settles SEC and FRB Charges That It Violated Federal Law by Hiring Relatives and Friends of Asia-Based Government Officials
  • Katten Muchin Rosenman LLP
  • USA
  • November 20 2016

JPMorgan Chase agreed to settle civil charges brought by the Securities and Exchange Commission and the Board of Governors of the Federal Reserve


FINRA Announces Review of Cross-Selling by Broker-Dealers of Affiliated Bank and Other Products; SEC Announces Review of IAs and BDs Compliance With Whistle-Blower Requirements
  • Katten Muchin Rosenman LLP
  • USA
  • October 30 2016

The Financial Industry Regulatory Authority announced that it was conducting an industry-wide inquiry to review cross-selling programs at


ESMA Publishes MAR Guidelines on Receiving Market Soundings
  • Katten Muchin Rosenman LLP
  • European Union
  • October 28 2016

On October 20, the European Securities and Markets Authority (ESMA) published guidelines (Guidelines) on receiving market soundings (also commonly


ESMA Publishes MAR Guidelines for EU-Listed Issuers on Delaying Disclosure of Inside Information
  • Katten Muchin Rosenman LLP
  • European Union
  • October 28 2016

On October 20, the European Securities and Markets Authority (ESMA) published guidelines (Guidelines) on the scope of circumstances where an


Federal Court Finds No Possible Manipulation of US Treasury Markets Where No Allegation of Intent
  • Katten Muchin Rosenman LLP
  • USA
  • October 16 2016

A US federal court in Chicago dismissed a lawsuit against anonymous "John Doe" defendants that claimed the defendants engaged in spoofing-type


Investment Adviser and Supervisor Resolve SEC Charges They Failed to Supervise Employee Who Engaged in Insider Trading
  • Katten Muchin Rosenman LLP
  • USA
  • October 16 2016

Artis Capital Management LP, a registered investment adviser, and Michael Harden, a senior analyst at Artis, settled charges brought by the


Just Calling Sam Is Inadequate Substitute for Robust AML Procedures Even at Small Broker-Dealer Rules FINRA Adjudicatory Council
  • Katten Muchin Rosenman LLP
  • USA
  • October 16 2016

A decision by the Financial Industry Regulation Authority to fine Lek Securities Corporation, a registered broker-dealer, US $100,000 for failing to


SEC Applauds Itself on Most Ever Enforcement Cases in Fiscal Year 2016
  • Katten Muchin Rosenman LLP
  • USA
  • October 16 2016

The Securities and Exchange Commission summarized that it had filed 868 enforcement actions in its 2016 fiscal year that just ended on September 30