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Results: 1-10 of 2,135

Moody’s proposes standardized rating methodology for clearinghouses
  • Katten Muchin Rosenman LLP
  • USA
  • June 28 2015

Moody's Investors Service is proposing a standardized methodology to rate clearinghouses globally. It will accept comments on its proposed


SEC commissioner recommends applying Reg SCI to brokers to enhance cybersecurity
  • Katten Muchin Rosenman LLP
  • USA
  • June 28 2015

Securities and Exchange Commissioner Luis Aguilar said extending the reach of Regulation SCI to broker-dealers, over-the-counter market makers and


FINRA proposes to decrease delay in publishing historical trade data
  • Katten Muchin Rosenman LLP
  • USA
  • June 28 2015

The Financial Industry Regulatory Authority proposes to publicly release historical information captured by its Trade Reporting and Compliance Engine


Monetary Authority of Singapore sanctions SGX for fall 2014 market outages
  • Katten Muchin Rosenman LLP
  • USA
  • June 28 2015

The Monetary Authority of Singapore reprimanded the Singapore Exchange over market outages on November 5 and December 3, 2014. On November 5, SGX


Broker-dealers cited by FINRA for not monitoring transfers from client accounts to third parties
  • Katten Muchin Rosenman LLP
  • USA
  • June 28 2015

Two broker-dealers were fined a total of US $950,000 by the Financial Industry Regulatory Authority for not adequately monitoring the handling of


Massachusetts federal jury convicts amateur golfer for insider trading
  • Katten Muchin Rosenman LLP
  • USA
  • June 26 2015

A federal jury in the District of Massachusetts recently convicted Eric McPhail of securities fraud one of the first criminal insider trading


Cyber-attacks: threats, regulatory reaction and practical proactive measures to help avoid risks
  • Katten Muchin Rosenman LLP
  • USA
  • June 24 2015

In the past few months, the White House, Home Depot, JP Morgan, Hard Rock Hotels, Tesla, the St. Louis Federal Reserve, the Internal Revenue Service


Business and principals stopped by SEC from transacting in OTC security-based swaps with retail persons
  • Katten Muchin Rosenman LLP
  • USA
  • June 21 2015

The Securities and Exchange Commission enjoined Sand Hill Exchange, an unincorporated business, and Gerritt Hall and Elaine Ou, who both ran Sand


Investment adviser chief compliance officer blamed in SEC lawsuit for President’s theft of client funds; SEC commissioner criticizes enforcement actions against CCOs generally
  • Katten Muchin Rosenman LLP
  • USA
  • June 21 2015

The Securities and Exchange Commission filed two separate administrative complaints last week related to the misappropriation of client funds by the


SEC sanctions thirty-six underwriting firms more than US $9 million for misleading offering statements
  • Katten Muchin Rosenman LLP
  • USA
  • June 21 2015

Thirty-six municipal underwriting firms settled enforcement actions brought by the Securities and Exchange Commission related to their use of