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Results: 1-10 of 2,178

BEA filing deadline looms for US persons with foreign affiliates
  • Katten Muchin Rosenman LLP
  • USA
  • May 26 2015

Every five years, the US Department of Commerce's Bureau of Economic Analysis (BEA) conducts a survey concerning the extent of investment abroad by


Section 16(b) decision provides important guidance
  • Katten Muchin Rosenman LLP
  • USA
  • May 22 2015

A recent opinion by the US District Court for the Southern District of New York denying a motion to dismiss “short-swing” profit claims under Section


Massachusetts federal court denies motion to dismiss insider trading indictment
  • Katten Muchin Rosenman LLP
  • USA
  • May 22 2015

The US District Court of Massachusetts in U.S. v. McPhail, et. al., Case No. 1:14-cr-10201, 2015 WL 2226249 (D. Mass. May 12, 2015), denied the


FINRA requests comment on proposed amendments to rules governing communications with the public
  • Katten Muchin Rosenman LLP
  • USA
  • May 22 2015

The Financial Industry Regulatory Authority issued Regulatory Notice 15-16 to solicit comments on proposed amendments to FINRA Rules governing


Cyber risk poses greater risk to broad economy than geopolitical events and new regulations according to DTCC survey
  • Katten Muchin Rosenman LLP
  • USA
  • May 17 2015

The Depository Trust & Clearing Corporation issued a survey of its members conducted during the first quarter of 2015 that indicated that cyber risk


FINRA revises sanction guidelines for misrepresentation and fraud
  • Katten Muchin Rosenman LLP
  • USA
  • May 17 2015

The National Adjudicatory Council, the appellate tribunal for disciplinary cases of the Financial Industry Regulatory Authority, has increased the


FINRA files enforcement action against broker-dealer, chief compliance officer and Others for unregistered sales of securities and failure to supervise
  • Katten Muchin Rosenman LLP
  • USA
  • May 17 2015

The Financial Industry Regulatory Authority filed an administrative complaint against Scottsdale Capital Advisors Corporation, a registered


New meaning for old words: when golf references are allegedly codes for insider trading, and deflategate is allegedly only about weight loss
  • Katten Muchin Rosenman LLP
  • USA
  • May 17 2015

The Securities and Exchange Commission filed civil insider-trading charges against Sean Stewart and his father, Robert Stewart, in a federal court in


NASDAQ to use blockchain technology to enhance equity management capabilities
  • Katten Muchin Rosenman LLP
  • USA
  • May 17 2015

NASDAQ announced that, later this year, it will employ blockchain technology to enhance the equity management capabilities offered by its private


FINRA’s NAC strengthens Sanction Guidelines related to fraud and suitability
  • Katten Muchin Rosenman LLP
  • USA
  • May 15 2015

On May 12, the Financial Industry Regulatory Authority announced that the National Adjudicatory Council (NAC) revised its Sanction Guidelines to call