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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

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