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Results: 1-10 of 8,295

SEC Proposes Best Interest Standard for Broker-Dealers
  • Katten Muchin Rosenman LLP
  • USA
  • April 20 2018

On April 18, the Securities and Exchange Commission proposed a new rule under the Securities Exchange Act of 1934, creating a standard of conduct for


CFTC’s division of swap dealer and intermediary oversight extends exemptive relief from CFTC regulations 4.7 and 4.2 requirement to prepare financial statements in accordance with US gaap
  • Katten Muchin Rosenman LLP
  • USA
  • April 20 2018

On March 30, the Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (DSIO) issued Letter 18-09, which granted


European Parliament Adopts Fifth Money Laundering Directive
  • Katten Muchin Rosenman LLP
  • European Union
  • April 20 2018

On April 19, the European Parliament (EP) published a press release announcing its adoption of a proposal for a fifth Anti-Money Laundering Directive


FINRA Publishes Regulatory Notice Regarding 2018 GASB Accounting Support Fee
  • Katten Muchin Rosenman LLP
  • USA
  • April 20 2018

On April 17, the Financial Industry Regulatory Authority issued Regulatory Notice 18-12, which announces that FINRA will collect a total of $8,346


ECON Publishes Proposed Amendments to Prudential Supervision of Investment Firms Directive
  • Katten Muchin Rosenman LLP
  • European Union
  • April 20 2018

On April 13, the European Parliament’s Committee on Economic and Monetary Affairs (ECON) published a draft report, featuring the European Parliament


EBA Publishes Report Regarding ITS on Reporting for Resolution Plans Under the EU BRRD
  • Katten Muchin Rosenman LLP
  • European Union
  • April 20 2018

On April 17, the European Banking Authority (EBA) published its draft implementing technical standards (ITS) on reporting for resolution plans under


President Trump Commits to Protect Colorado’s Legal Marijuana Industry
  • Katten Muchin Rosenman LLP
  • USA
  • April 17 2018

On Friday, April 13th, Senator Cory Gardner (R-CO) announced that President Trump assured him that the Department of Justice’s decision to rescind the


US opposes effort of imprisoned trader to have Supreme Court consider overturning conviction for spoofing
  • Katten Muchin Rosenman LLP
  • USA
  • April 15 2018

The Department of Justice opposed the efforts of the first individual convicted of spoofing under a Dodd-Frank law to have the US Supreme Court hear


CFTC and CBOT Collectively Fine Floor Broker US $250,000 for Alleged Repeat Spoofing Violations
  • Katten Muchin Rosenman LLP
  • USA
  • April 15 2018

The Commodity Futures Trading Commission and the Chicago Board of Trade collectively sanctioned a floor broker US $250,000 for purportedly engaging in spoofing trading activities


Broker-Dealer Sanctioned US $1.575 Million by FINRA and Other SROs for Market Access Rule Violations
  • Katten Muchin Rosenman LLP
  • USA
  • April 15 2018

Last week, a broker-dealer was fined US $1.575 million by the Financial Industry Regulatory Authority and other self-regulatory organizations for not