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Results: 1-10 of 6,271

FINRA Files Proposed Rules With The SEC To Implement Consolidated Audit Trail Plan
  • Katten Muchin Rosenman LLP
  • USA
  • February 17 2017

The Financial Industry Regulatory Authority (FINRA) has filed proposed rules with the Securities and Exchange Commission to adopt FINRA Rule 6800


HM Treasury Publishes Response to the Transposition of MiFID II Consultation
  • Katten Muchin Rosenman LLP
  • USA
  • February 17 2017

On February 9, HM Treasury published its response (Response) to the consultation that ran from March 27, 2015, to June 18, 2015, on the transposition


SEC Approves Pricing Disclosures for Fixed Income Securities
  • Katten Muchin Rosenman LLP
  • USA
  • February 17 2017

The Securities and Exchange Commission has approved amendments to Financial Industry Regulatory Authority (FINRA) Rule 2232 (Customer Confirmations


ESMA Publishes Letter to the European Commission on Potential Exploitation of MiFID II Systematic Internalizer Regime
  • Katten Muchin Rosenman LLP
  • USA
  • February 17 2017

On February 14, the European Securities and Markets Authority (ESMA) published a letter (Letter), dated February 1, to the European Commission (EC


Financial Stability Board Makes 14 Recommendations to Mitigate “Structural Vulnerabilities” of Asset Management
  • Katten Muchin Rosenman LLP
  • USA
  • February 12 2017

The Financial Stability Board issued recommendations regarding its view of the principal structural vulnerabilities in the asset management industry


No-Action Relief Regarding CPO Delegations Penned by CFTC’s Division of Swap Dealer and Intermediary Oversight
  • Katten Muchin Rosenman LLP
  • USA
  • February 12 2017

The Commodity Futures Trading Commission's Division of Swap Dealer and Intermediary Oversight authored four virtually identical no-action letters


CME Group Member’s Summary Suspension Ended
  • Katten Muchin Rosenman LLP
  • USA
  • February 12 2017

A limited summary access denial order implemented by the New York Mercantile Exchange on January 5 against Eldorado Trading Group LLC for allegedly


CPO and Owner Sanctioned by CFTC for Violations of Law and Rules
  • Katten Muchin Rosenman LLP
  • Australia, USA
  • February 12 2017

John Oden and Oden Capital Management settled charges brought by the Commodity Futures Trading Commission that they operated commodity pools contrary


SEC OCIE Provides Top Five List of Most-Identified Compliance Topics During Investment Adviser Examinations
  • Katten Muchin Rosenman LLP
  • USA
  • February 12 2017

The Securities and Exchange Commission's Office of Compliance Inspections and Examinations published a Risk Alert that set forth the five topics that


Senate Agriculture and Judiciary Committees Chairmen Raise Concerns Regarding CFTC Handling of Whistleblowers
  • Katten Muchin Rosenman LLP
  • USA
  • February 12 2017

Pat Roberts, chairman of the Senate Agriculture Committee, and Charles Grassley, chairman of the Senate Judiciary Committee, sent a letter to