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Results: 1-10 of 908

Court approves MF Global Inc. trustee to make final distribution to unsecured general creditors
  • Katten Muchin Rosenman LLP
  • USA
  • August 23 2015

The Trustee for the Liquidation of MF Global Inc. - the defunct futures commission merchant that filed for bankruptcy in October 2011 - received


Promontory Financial agrees to pay US $15 million to resolve allegations regarding conflicted audit
  • Katten Muchin Rosenman LLP
  • USA
  • August 23 2015

Promontory Financial Group agreed to pay a US $15 million fine in order to resolve certain allegations made against it by the New York State


The Surface Transportation and Veterans Health Care Choice Improvement Act of 2015: important changes affecting tax filings for individuals and for trusts and estates
  • Katten Muchin Rosenman LLP
  • USA
  • August 20 2015

On July 31, 2015, President Obama signed into law the Surface Transportation and Veterans Health Care Choice Improvement Act of 2015 (the "Act"


Individual securities registrants soon able to complete periodic regulator element training at home
  • Katten Muchin Rosenman LLP
  • USA
  • August 14 2015

The Financial Industry Regulatory Authority announced that the regulatory element component of its periodic training required for individual


New York regulator penalizes promontory financial for alleged lack of independent judgment in handling Standard Chartered Bank review
  • Katten Muchin Rosenman LLP
  • USA
  • August 14 2015

The New York State Department of Financial Services claimed that Promontory Financial Group "exhibited a lack of independent judgment" in connection


Federal Reserve issues clarification of debit card interchange rule in response to court action
  • Katten Muchin Rosenman LLP
  • USA
  • August 14 2015

On August 10, the Board of Governors of the Federal Reserve System (Board) clarified Regulation II (Debit Card Interchange Fees and Routing


FINRA proposes Rule governing personal securities transactions of associated persons
  • Katten Muchin Rosenman LLP
  • USA
  • August 7 2015

On July 31, the Financial Industry Regulatory Authority filed a proposed rule change with the Securities and Exchange Commission to adopt FINRA Rule


optionsXpress sanctioned by FINRA for not adjusting open share orders to reflect dividends
  • Katten Muchin Rosenman LLP
  • USA
  • July 26 2015

optionsXpress, Inc. - a subsidiary of The Charles Schwab Corporation - agreed to pay a fine of US $165,000 to the Financial Industry Regulatory


ISDA reflects on Dodd-Frank implementation five years later
  • Katten Muchin Rosenman LLP
  • USA
  • July 26 2015

The International Swaps and Derivatives Association published an overview of milestones in connection with requirements of the Dodd-Frank Wall Street


Federal reserve changes name check process
  • Katten Muchin Rosenman LLP
  • USA
  • July 24 2015

As part of its responsibilities as the primary federal banking regulator for bank holding companies, savings and loan holding companies