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FINRA Files Proposed Rule Amendments With SEC Regarding Disruptive Trading and Expedited Proceedings
  • Katten Muchin Rosenman LLP
  • USA
  • December 4 2016

The Financial Industry Regulatory Authority filed a proposed rule amendment with the Securities and Exchange Commission that expressly prohibits a


Political Update: Former CFTC Acting Chair, Sharon Brown Hruska, Named to Landing Team for CFTC and SEC
  • Katten Muchin Rosenman LLP
  • USA
  • December 4 2016

Sharon Brown-Hruska, a former commissioner and Acting Chair of the Commodity Futures Trading Commission, was named a member of the landing team for


SEC Argues Exchanges Have No Absolute Immunity in Private Lawsuit Claiming Manipulation to Benefit HFTs
  • Katten Muchin Rosenman LLP
  • USA
  • December 4 2016

The Securities and Exchange Commission argued in a brief filed in a federal appellate court in New York that exchanges have no absolute immunity from


SEC Division of Corporation Finance Issues New C&DIs Relating to Tender Offer Rules
  • Katten Muchin Rosenman LLP
  • USA
  • December 2 2016

On November 18, the Division of Corporation Finance of the Securities and Exchange Commission issued seven new Compliance and Disclosure


SEC Division of Corporation Finance Issues C&DIs on Offerings Under Regulation A and Regulation D
  • Katten Muchin Rosenman LLP
  • USA
  • December 2 2016

On November 17, the staff of the Division of Corporation Finance of the Securities and Exchange Commission issued four new Compliance and Disclosure


UK FCA Confirms No Guidance to be Published on the Application of the UCITS Remuneration Code
  • Katten Muchin Rosenman LLP
  • USA
  • December 2 2016

On November 17, the UK Financial Conduct Authority (FCA) updated its webpage focused on Undertakings for Collective Investment in Transferable


Broker-Dealer Sanctioned Over $3.3 Million for Not Making Required Regulator Filings With FINRA and Not Producing Documents in Discovery to Arbitration Claimants
  • Katten Muchin Rosenman LLP
  • USA
  • November 20 2016

Oppenheimer & Co, Inc. agreed to pay a fine of US $1.575 million and remediation payments to customers of US $1.846 million to resolve a Disciplinary


SEC Approves Consolidated Audit Trail and Three-Year Phase-In
  • Katten Muchin Rosenman LLP
  • USA
  • November 20 2016

The Securities and Exchange Commission approved creation of a single comprehensive database to track all trading activity in US national market


FINRA Rule Proposal Requiring Enhanced Disclosure to Retain Clients Regarding Corporate and Agency Fixed Income Securities Approved by SEC
  • Katten Muchin Rosenman LLP
  • USA
  • November 20 2016

The Financial Industry Regulatory Authority received approval from the Securities and Exchange Commission to implement a proposed rule requiring


Political Update: SEC Chair Announces Imminent Resignation; CFTC Chairman Urged to Put Pens Down on Three Controversial New Initiatives
  • Katten Muchin Rosenman LLP
  • USA
  • November 20 2016

As anticipated, Mary Jo White announced she will resign as Chair of the Securities and Exchange Commission prior to January 20, 2017. In addition