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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


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


Tenth Circuit Holds SEC Administrative Tribunals Unconstitutional
  • Katten Muchin Rosenman LLP
  • USA
  • January 8 2017

A Federal Court of Appeals sitting in Denver, Colorado (the Tenth Circuit Court of Appeals), ruled that a 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


ISS Releases Changes to Equity Plan Score Card for 2017
  • Katten Muchin Rosenman LLP
  • USA
  • January 6 2017

Proxy advisory firm Institutional Shareholder Services (ISS) recently made changes to its US Equity Plan Score Card (EPSC), the ISS tool to evaluate


President-Elect Trump Nominates Clayton as SEC Chair
  • Katten Muchin Rosenman LLP
  • USA
  • January 6 2017

On January 4, President-elect Donald Trump announced his nomination of Jay Clayton to serve as chair of the Securities and Exchange Commission


Federal Regulators Issue FAQs on New Credit Losses Accounting Standard
  • Katten Muchin Rosenman LLP
  • USA
  • January 6 2017

On June 16, 2016, the Financial Accounting Standards Board issued Accounting Standards Update (ASU) No. 2016-13, Topic 326, Financial Instruments -


CFTC Grants No-Action Relief From Certain Swap Clearing Requirements for Swaps With Eligible Affiliate Counterparties in Australia or Mexico
  • Katten Muchin Rosenman LLP
  • USA
  • December 16 2016

On December 15, the Commodity Futures Trading Commission Division of Clearing and Risk granted US swap participants temporary no-action relief from


SEC Division of Corporation Finance Issues 35 New C&DIs Regarding Foreign Private Issuers, QIBs and Offshore Offerings
  • Katten Muchin Rosenman LLP
  • USA
  • December 16 2016

On December 8, the staff (Staff) of the Securities and Exchange Commission’s Division of Corporation Finance issued 35 new Compliance and Disclosure