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2017 Examination Priorities Announced by the SEC
  • Katten Muchin Rosenman LLP
  • USA
  • January 13 2017

On January 12, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) released its 2017 examination


Non-US Traders Criminally and Civilly Charged With Trading on Nonpublic Information Cyber-Hacked From Law Firms
  • Katten Muchin Rosenman LLP
  • USA
  • January 8 2017

At the end of last year, the US Attorney's Office in New York City disclosed that criminal charges had been filed earlier in 2016 against three


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


FINRA Publishes 2017 Regulatory and Examination Priorities Letter
  • Katten Muchin Rosenman LLP
  • USA
  • January 6 2017

On January 4, the Financial Industry Regulatory Authority published its Annual Regulatory and Examinations Letter (Priorities Letter), which outlines


Supreme Court Rules Sharing of Nonpublic Information With Relative Is Sufficient to Find Illegal Insider Trading in TipperTippee Context
  • Katten Muchin Rosenman LLP
  • USA
  • December 11 2016

The United States Supreme Court upheld the conviction of Bassam Salman, who traded profitably on nonpublic information received from a friend, Mounir


Supreme Court Rules on Insider Trading Involving Family and Friends
  • Katten Muchin Rosenman LLP
  • USA
  • December 9 2016

In its first insider trading decision in nearly two decades, the US Supreme Court ruled unanimously to uphold an insider trading conviction of an


FINRA Files Proposed Rule Amendments With SEC Regarding Disruptive Trading and Expedited Proceedings
  • Katten Muchin Rosenman LLP
  • USA
  • December 4 2016

The Financial Industry Regulatory Authority filed a proposed rule amendment with the Securities and Exchange Commission that expressly prohibits a


Bank Settles SEC and FRB Charges That It Violated Federal Law by Hiring Relatives and Friends of Asia-Based Government Officials
  • Katten Muchin Rosenman LLP
  • USA
  • November 20 2016

JPMorgan Chase agreed to settle civil charges brought by the Securities and Exchange Commission and the Board of Governors of the Federal Reserve


Broker-Dealer Sanctioned Over $3.3 Million for Not Making Required Regulator Filings With FINRA and Not Producing Documents in Discovery to Arbitration Claimants
  • Katten Muchin Rosenman LLP
  • USA
  • November 20 2016

Oppenheimer & Co, Inc. agreed to pay a fine of US $1.575 million and remediation payments to customers of US $1.846 million to resolve a Disciplinary


FINRA Announces Review of Cross-Selling by Broker-Dealers of Affiliated Bank and Other Products; SEC Announces Review of IAs and BDs Compliance With Whistle-Blower Requirements
  • Katten Muchin Rosenman LLP
  • USA
  • October 30 2016

The Financial Industry Regulatory Authority announced that it was conducting an industry-wide inquiry to review cross-selling programs at