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Results: 1-10 of 4,890

CFTC’s Division of Market Oversight issues updated Guidebook for Part 20 reports
  • Katten Muchin Rosenman LLP
  • USA
  • June 26 2015

The Commodity Futures Trading Commission’s Division of Market Oversight has issued an updated Guidebook and Appendices for reports to the CFTC under


FIA Market Technology Division releases recommendations to prepare for leap second event
  • Katten Muchin Rosenman LLP
  • USA
  • June 26 2015

The Futures Industry Association’s (FIA) Market Technology Division (MTD) published a report of recommendations to prepare the industry for the leap


Delaware amends its corporate law to prohibit fee-shifting, approve exclusive forum provisions and Facilitate At-The-Market Offerings
  • Katten Muchin Rosenman LLP
  • USA
  • June 26 2015

On June 24, Delaware's Governor signed legislation approving amendments to the Delaware General Corporation Law (DGCL). While annual amendments to


CFTC’s Division of Market Oversight to hold public roundtable regarding made available to trade determinations
  • Katten Muchin Rosenman LLP
  • USA
  • June 26 2015

The Commodity Futures Trading Commission's Division of Market Oversight will hold a public roundtable on July 15 from 10:00 a.m. to 2:00 p.m. (ET) to


Massachusetts federal jury convicts amateur golfer for insider trading
  • Katten Muchin Rosenman LLP
  • USA
  • June 26 2015

A federal jury in the District of Massachusetts recently convicted Eric McPhail of securities fraud one of the first criminal insider trading


SEC Division of Corporation Finance issues new C&DIs relating to new “Regulation A”
  • Katten Muchin Rosenman LLP
  • USA
  • June 26 2015

On June 23, the Securities and Exchange Commission’s Division of Corporation Finance issued new


Cyber-attacks: threats, regulatory reaction and practical proactive measures to help avoid risks
  • Katten Muchin Rosenman LLP
  • USA
  • June 24 2015

In the past few months, the White House, Home Depot, JP Morgan, Hard Rock Hotels, Tesla, the St. Louis Federal Reserve, the Internal Revenue Service


FCM broker fined US $1.2 million by CFTC for unauthorized swaps trading for customer
  • Katten Muchin Rosenman LLP
  • USA
  • June 21 2015

The Commodity Futures Trading Commission settled charges against Christopher Evans for executing 30 unauthorized bilateral swap transactions opposite


SEC sanctions thirty-six underwriting firms more than US $9 million for misleading offering statements
  • Katten Muchin Rosenman LLP
  • USA
  • June 21 2015

Thirty-six municipal underwriting firms settled enforcement actions brought by the Securities and Exchange Commission related to their use of


Investment adviser and mutual fund board members sued by SEC for inadequate advisory contract approval process
  • Katten Muchin Rosenman LLP
  • USA
  • June 21 2015

The Securities and Exchange Commission sued a mutual fund adviser, its principal and three mutual fund board members for violating their legal