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Australian Regulator Sanctions Broker for Engaging in Pre-Negotiated Futures Transactions With Client Without Requisite Time Delay
  • Katten Muchin Rosenman LLP
  • Australia, USA
  • February 27 2017

The Australian Securities & Investment Commission fined BGC Partners (Australia) Pty Limited Aus $90,000 (approximately US $69,000) for failure to


Canadian Securities Regulators Join the Sandbox Movement
  • Katten Muchin Rosenman LLP
  • Canada, USA
  • February 27 2017

The Canadian Securities Administrators joined a growing international movement by launching a regulatory sandbox - namely a regulatory initiative to


Broker-Dealer Settles SEC Charges Related to Alleged Compliance and Trading Surveillance Breakdowns
  • Katten Muchin Rosenman LLP
  • USA
  • February 27 2017

Sidoti & Company LLC, a Securities and Exchange Commission registered brokerdealer, agreed to pay a fine of US $100,ooo to resolve charges that


SEC Approves NFA Proposed Mark-UpMark-Down Disclosure Requirement on Retail Investors’ Corporate and Agency Bonds’ Confirmations
  • Katten Muchin Rosenman LLP
  • USA
  • February 27 2017

The Securities and Exchange Commission approved amendments to a rule of the Financial Industry Regulatory Authority that will require member firms to


SEC Whistleblower Protection: Recent Cautionary Tales and New Best Practices
  • Katten Muchin Rosenman LLP
  • USA
  • February 23 2017

Although 2017 has barely begun, the Securities and Exchange Commission (SEC) has continued to aggressively pursue enforcement actions against


SEC Whistleblower Protection: Recent Cautionary Tales and New Best Practices
  • Katten Muchin Rosenman LLP
  • USA
  • February 23 2017

Although 2017 has barely begun, the Securities and Exchange Commission (SEC) has continued to aggressively pursue enforcement actions against


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


FINRA Proposes Amendments to Rule Pertaining to Communications with the Public
  • Katten Muchin Rosenman LLP
  • USA
  • February 17 2017

The Financial Industry Regulatory Authority (FINRA) is seeking comment with respect to proposed amendments (the "Proposed Amendments") to FINRA Rule


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