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Results: 11-20 of 10,576

Enforcement Trends: The New Administration and Securities Enforcement
  • Ropes & Gray LLP
  • USA
  • January 10 2017

Today's podcast is a part of a series of Capital Insights podcasts we're hosting to examine the issues and potential regulatory and enforcement


Financial Services Update, Vol. 12, Issue 1
  • Winston & Strawn LLP
  • USA
  • January 9 2017

Last week, the Financial Industry Regulatory Authority, Inc. (“FINRA”) released its Annual Regulatory and Examination Priorities Letter (“Priorities


Euro Stoxx 50 Index Dividend Futures Available for Trading by US Persons
  • Katten Muchin Rosenman LLP
  • USA
  • January 8 2017

The Eurex Exchange announced that US persons are now authorized to purchase and sell its EURO Stoxx 50 Index Dividend Futures contracts. This product


FINRA Sanctions 12 Member Firms for Failure to Maintain Electronic Records in Required Format
  • Katten Muchin Rosenman LLP
  • USA
  • January 8 2017

The Financial Industry Regulatory Authority assessed a total of US $14.4 million in fines against 12 firms for "significant deficiencies" in their


Individual FX Dealer Pleads Guilty to Currency Prices Manipulation
  • Katten Muchin Rosenman LLP
  • USA
  • January 8 2017

Jason Katz, previously employed by three financial institutions in New York City, pleaded guilty to manipulating foreign exchange prices from at least


CFTC Re-Proposed Position Limit Rules Published in Federal Register; Comments Due February 28;Meaningful After Chairman Massad Resignation?
  • Katten Muchin Rosenman LLP
  • USA
  • January 8 2017

The Commodity Futures Trading Commissions recently re-proposed amendments to its rules dealing with speculative position limits were published in the


Two Companies Charged by SEC for Whistleblower Infractions
  • Katten Muchin Rosenman LLP
  • USA
  • January 8 2017

Two publicly traded companies agreed to settle Securities and Exchange Commission


Investment Bank Agrees to Pay US $120 Million to Resolve Charges That It Attempted to Manipulate IRS Benchmark
  • Katten Muchin Rosenman LLP
  • USA
  • January 8 2017

The Goldman Sachs Group, Inc. and Goldman, Sachs & Co. settled charges brought by the Commodity Futures Trading Commission that, from January 2007


Firm Fined by ICE Futures US for ATS Gone Bad; NYMEX Summarily Denies Access to Member for Knowingly Submitting Inaccurate TAS Orders
  • Katten Muchin Rosenman LLP
  • USA
  • January 8 2017

Marquette Partners agreed to pay a fine of US $20,000 to resolve a Disciplinary action brought by ICE Futures U.S. because of an alleged malfunction


John Corzine Agrees to US $5 Million Fine and Registration Ban to Settle CFTC Charges Related to Collapse of MF Global; Edith O’Brien to Pay US $500,000
  • Katten Muchin Rosenman LLP
  • USA
  • January 8 2017

More than five years after the collapse of MF Global Inc. delayed the repayment to its customers of 100 percent of their funds for approximately two