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Related Broker-Dealers Agree to Pay US $1 Million Penalty to FINRA for Allegedly Not Sending Certain Required Information to Private Bank Clients
  • Katten Muchin Rosenman LLP
  • USA
  • April 24 2016

JP Morgan Securities LLC and JP Morgan Clearing Corp. agreed to pay an aggregate fine of US $1 Million to resolve charges brought by the Financial


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


Deferrals and Claw-Backs Potentially Required in Newly Proposed Compensation Arrangements for Senior Officers of Certain Financial Institutions
  • Katten Muchin Rosenman LLP
  • USA
  • April 24 2016

Six federal agencies proposed bonus payment deferral and claw-back arrangements for certain large financial institutions and certain of their most


Futures Exchanges Conform Rules to Latest CFTC OCR No Action Relief
  • Katten Muchin Rosenman LLP
  • USA
  • April 24 2016

Two exchanges, CME Group and CBOE Futures, amended their rules to conform certain of their revised large trader reporting requirements' deadlines to


Swap Execution Facility Alleges in Lawsuit That Banks Conspired to Prevent Its Success
  • Katten Muchin Rosenman LLP
  • USA
  • April 24 2016

The TeraExchange, a swaps execution facility registered with the Commodity Futures Trading Commission, and related entities, brought a lawsuit in a


SEC Claims Broker-Dealer’s Attempt to Escape FINRA Disciplinary Action is Untimely
  • Katten Muchin Rosenman LLP
  • USA
  • April 24 2016

The Securities and Exchange Commission expressed its intent to file a friend of the court brief in the lawsuit filed by Scottsdale Capital Advisors


Federal Reserve to Expand Off-Site Examinations
  • Katten Muchin Rosenman LLP
  • USA
  • April 22 2016

On April 19, the Federal Reserve Board implemented new procedures for examiners to conduct off-site loan reviews for community and small regional


Pension Income Stream Products
  • Katten Muchin Rosenman LLP
  • USA
  • April 22 2016

Financial Industry Regulatory Authority recently released Regulatory Notice 16-12 to provide guidance to firms on their responsibilities for sales of


SEC Releases Registration Fee Estimator
  • Katten Muchin Rosenman LLP
  • USA
  • April 22 2016

On April 18, the Securities and Exchange Commission announced the release of an online tool that will assist companies in calculating registration


CFTC Enters Into Information Sharing MOU With Three Additional Canadian Provinces
  • Katten Muchin Rosenman LLP
  • Canada, USA
  • April 22 2016

On April 20, the Commodity Futures Trading Commission and three Canadian regulatory authorities signed counterparts to a memorandum of understanding