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FINRA Conducting Mutual Fund Sweep at Broker-Dealers to Assess Possible Overcharges
  • Katten Muchin Rosenman LLP
  • USA
  • May 22 2016

The Financial Industry Regulatory Authority publicized that it is conducting a sweep of broker-dealers to assess whether they are passing along


Famous Golfer, Professional Sports Gambler and Corporate Tipster All Named in SEC-Insider Trading Action; Criminal Charges Also Filed
  • Katten Muchin Rosenman LLP
  • USA
  • May 22 2016

The Securities and Exchange Commission settled charges against Phil Mickelson, a professional golfer, for trading and making profits on non-public


Two Related Broker-Dealers To Pay US $17 Million for Widespread AML Compliance Failures; Former AML Compliance Officer Also Sanctioned
  • Katten Muchin Rosenman LLP
  • USA
  • May 22 2016

Raymond James & Associates, Inc. (RJA), Raymond James Financial Services, Inc. (RJFS) and Linda Busby, the anti-money laundering compliance officer


SEC To Award More Than US $5 Million to Whistleblower
  • Katten Muchin Rosenman LLP
  • USA
  • May 22 2016

An unnamed whistleblower will receive an award of between US $5 and $6 million because of information voluntarily provided to the Securities and


CFTC Issues Residual Interest Deadline Report
  • Katten Muchin Rosenman LLP
  • USA
  • May 20 2016

On May 13, the Commodity Futures Trading Commission's Division of Swap Dealer and Intermediary Oversight (DSIO) issued the Residual Interest Deadline


SEC Division of Corporation Finance Issues 12 New and Revised C&DIs Regarding Non-GAAP Measures
  • Katten Muchin Rosenman LLP
  • USA
  • May 20 2016

As noted in the May 13 edition of Corporate and Financial Weekly Digest, SEC Chair Mary Joe White, Deputy Chief Accountant Wesley R. Bricker and


PCAOB Re-Proposes Auditor Reporting Standard to Enhance Auditor Reports
  • Katten Muchin Rosenman LLP
  • USA
  • May 20 2016

On May 11, the Public Company Accounting Oversight Board (PCAOB) re-proposed its standard for information that auditors are required to provide in


Controller of FCM Named in CFTC Complaint, Along with Firm, for Failure to Timely Notify Commission of Segregation Breach
  • Katten Muchin Rosenman LLP
  • USA
  • May 15 2016

Cunningham Commodities, LLC, a futures commission merchant registered with the Commodity Futures Trading Commission, and Salvatore Russo, its


Broker-Dealer Sanctioned by FINRA for Alleged Failure to Supervise Use of Flash Research Emails That Might Convey Nonpublic Information
  • Katten Muchin Rosenman LLP
  • USA
  • May 15 2016

The Financial Industry Regulatory Authority brought and settled charges against Stephens Inc., a broker-dealer, for not supervising "flash" emails


Dubai-Based Trader Barred by DFSA for Hiding Trading Losses of US $11 Million by Mismarking Positions
  • Katten Muchin Rosenman LLP
  • USA
  • May 15 2016

The Dubai Financial Services Authority barred Noyan Ayhan from engaging in financial services functions in or from the Dubai International Financial