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Results: 1-10 of 165

Independent Sponsor Transactions Forge AheadKatten’s Take on These PE Deals
  • Katten Muchin Rosenman LLP
  • USA
  • May 4 2016

With an all-time record set last year for the highest value of merger and acquisition transactions in the United States at $1.97 trillion, there were


FSOC Expresses Concerns That Pooled Investment Vehicles’ Liquidity and Redemption Risks May Pose Financial Stability Concerns
  • Katten Muchin Rosenman LLP
  • USA
  • April 24 2016

The Financial Stability Oversight Council issued an update on asset management products and activities that, it claimed, might pose threats to


SEC Chair Addresses Advisory Committee on Small and Emerging Companies
  • Katten Muchin Rosenman LLP
  • USA
  • March 4 2016

On February 25, Securities and Exchange Commission Chair Mary Jo White addressed members of the SEC’s Advisory Committee on Small and Emerging


SEC Advisory Committee on Small and Emerging Companies to Discuss Capital Formation Landscape for Small and Emerging Companies
  • Katten Muchin Rosenman LLP
  • USA
  • February 19 2016

The Securities and Exchange Commission announced that its Advisory Committee on Small and Emerging Companies (Committee) will hold another public


Change to the No-Action Relief Regarding Definition of “Ready Market” With Regard to Foreign Equity Securities Pursuant to SEC Rule 15c3-1(c)(11)(i)
  • Katten Muchin Rosenman LLP
  • USA
  • February 12 2016

On February 9, the Securities and Exchange Commission withdrew a no-action letter that was issued on November 28, 2012 (Old Letter), and issued a new


SEC Approves FINRA’s Funding Portal Rules
  • Katten Muchin Rosenman LLP
  • USA
  • February 5 2016

On January 22, the Securities and Exchange Commission approved the Financial Industry Regulatory Authority’s funding portal rules and related forms


Crowdfunding Portals Can Now Register with the SEC
  • Katten Muchin Rosenman LLP
  • USA
  • January 29 2016

As discussed in the November 6, 2015 edition of the Corporate and Financial Weekly Digest, on October 30, 2015, the Securities and Exchange


Fund Manager Sanctioned by SEC for Overcharging Fees and Misleading Investors About Asset Valuation
  • Katten Muchin Rosenman LLP
  • USA
  • January 24 2016

Equinox Fund Management, LLC agreed to refund investors US $5.4 million plus interest and pay a fine of US $400,000 to resolve charges by the


FTC Announces Revised Hart-Scott-Rodino Filing Thresholds
  • Katten Muchin Rosenman LLP
  • USA
  • January 22 2016

On January 21, the Federal Trade Commission (FTC) announced the new filing thresholds that will apply to mergers and acquisitions under the


SEC Issues Guidance on Mutual Fund Payment of Distribution Fees to Intermediaries
  • Katten Muchin Rosenman LLP
  • USA
  • January 19 2016

On January 6, the staff of the Securities and Exchange Commission's (SEC's) Division of Investment Management issued Guidance Update 2016-01, "Mutual