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Results: 1-10 of 156

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


Will the M&A Market Turn? Katten’s Take on 2015 and Look Ahead at 2016
  • Katten Muchin Rosenman LLP
  • USA
  • January 14 2016

As far as end-of-year stats go2015 blew 2014 out of the water. An all-time record was set last year for the highest value of merger and acquisition


SEC Division of Corporation Finance Issues Four Additional C&DIs on FAST Act
  • Katten Muchin Rosenman LLP
  • USA
  • January 8 2016

Since the adoption of the Fixing America's Surface Transportation Act (FAST Act) on December 4, 2015, the Division of Corporation Finance (Division


Notice of Filing of a Proposed Rule Change To Adopt the Capital Acquisition Broker Rules
  • Katten Muchin Rosenman LLP
  • USA
  • January 8 2016

The Securities and Exchange Commission is seeking comments on a Financial Industry Regulatory Authority proposal to create a set of rules for FINRA


SEC Enforcement Director tells CCOs not to worry as another CCO named in an SEC enforcement action
  • Katten Muchin Rosenman LLP
  • USA
  • November 8 2015

Andrew Ceresney, Director of the Division of Enforcement of the Securities and Exchange Commission, said in a speech last week before a group of


DERA publishes study of unregistered offering
  • Katten Muchin Rosenman LLP
  • USA
  • November 6 2015

On October 29, the Division of Economic and Risk Analysis (DERA) of the Securities and Exchange Commission published the results of a study that