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Results: 1-10 of 3,051

Innocuous Changes in CME Group Globex Rule Could Inadvertently Increase Potential FCM Liability Bigly
  • Katten Muchin Rosenman LLP
  • USA
  • May 21 2017

Unintended consequences of seemingly innocuous amendments to a CME Group rule regarding order entry into the Globex electronic matching system could


Canadian Self-Regulator Proposes Changes to Customer Protection Regime
  • Katten Muchin Rosenman LLP
  • Canada, USA
  • May 21 2017

The Investment Industry Regulatory Organization of Canada proposed amendments to its Dealer Member Rules to accommodate upcoming changes expected at


After Victims Want to Cry Because of Attacks by WannaCry, Worldwide Regulators Issue Helpful Guidance About Ransomware
  • Katten Muchin Rosenman LLP
  • USA
  • May 21 2017

In response to the May 12 global ransomware attack principally known as WannaCry, the US Department of Homeland Security, the Securities and Exchange


Broker-Dealer CMBS Traders Charged with Lying to Customers to Increase Firm Profits
  • Katten Muchin Rosenman LLP
  • USA
  • May 21 2017

The Securities and Exchange Commission charged two former head traders of the Commercial Mortgage-Backed Securities ("CMBS") desk of Nomura


FINRA Seeks Comments on Rules Governing Outside Business Activities and Private Securities Transactions
  • Katten Muchin Rosenman LLP
  • USA
  • May 21 2017

The Financial Industry Regulatory Authority sought comment on its rules regarding outside business activities and private securities transactions by


Hedge Fund Icon Settles SEC Insider Trading Allegations
  • Katten Muchin Rosenman LLP
  • USA
  • May 21 2017

Hedge fund icon Leon Cooperman and his firm, Omega Advisors, a registered investment adviser, agreed to resolve charges by the Securities and


CFTC Launches LabCFTC as Major FinTech Initiative
  • Katten Muchin Rosenman LLP
  • USA
  • May 19 2017

On May 17, the Commodity Futures Trading Commission announced the creation of LabCFTC, a new initiative aimed at promoting responsible FinTech


FINRA Requests Comment on Rules Governing Employees’ Outside Business Activities
  • Katten Muchin Rosenman LLP
  • USA
  • May 19 2017

On May 15, as part of a new review, the Financial Industry Regulatory Authority requested public comment on the effectiveness and efficiency of its


SEC Issues Risk Alert in Response to WannaCry Ransomware Attack
  • Katten Muchin Rosenman LLP
  • USA
  • May 19 2017

On May 17, the Securities and Exchange Commission Office of Compliance Inspections and Examinations (OCIE), issued a Risk Alert in response to the


CFPB Requests Information Regarding the Small Business Lending Market
  • Katten Muchin Rosenman LLP
  • USA
  • May 19 2017

On May 10, the Consumer Financial Protection Bureau (CFPB) held a field hearing and issued a notice and request for information related to the small