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Results:1-10 of 8,619

SEC and FINRA File Three Unrelated Enforcement Actions Charging Digital Assets-Related Securities Law Violations
  • Katten Muchin Rosenman LLP
  • USA
  • September 16 2018

The Securities and Exchange Commission and the Financial Industry Regulatory Authority brought unrelated enforcement


NY DFS Sues OCC Over FinTech License; Other State Financial Regulators Say Their Legal Challenge is Right Behind
  • Katten Muchin Rosenman LLP
  • USA
  • September 16 2018

The New York State Department of Financial Services sued the Office of the Comptroller of the Currency in connection


Four Defendants Sentenced for Role in Hedge Fund Insider Trading Scheme Based on Nonpublic Information Related to Medicare Reimbursement Rates
  • Katten Muchin Rosenman LLP
  • USA
  • September 16 2018

The four persons criminally charged in 2017 for participating in a scheme to obtain confidential proprietary information related


SEC Notes That Staff Views Are Just That - Staff Views and Not the SEC’s
  • Katten Muchin Rosenman LLP
  • USA
  • September 16 2018

Jay Clayton, chairman of the Securities and Exchange Commission, issued a statement noting staff statements solely reflect their personal opinions


In a Friday Night Hurricane, CFTC Batters 12 Firms and Multiple Individuals for Various Offenses, Including Non-Registration, Faulty Reporting and Recordkeeping Breakdowns
  • Katten Muchin Rosenman LLP
  • USA
  • September 16 2018

In an unusual Friday evening blitz after 6 pm ET, the Commodity Futures Trading Commission announced the filing


Two CME Group Nonmember Firms Sanctioned for Failing to Supervise Employees Who Engaged in Exchange Rule Violations
  • Katten Muchin Rosenman LLP
  • USA
  • September 16 2018

Two nonmembers were fined by CME Group exchanges for failure to supervise employees and agents. In one Disciplinary action


FINRA Identifies Opportunities and Potential Issues With RegTech in White Paper
  • Katten Muchin Rosenman LLP
  • USA
  • September 16 2018

The Financial Industry Regulatory Authority issued a white page discussing regulatory technology developments in the Securities Industry


Feeling Blue (Sheets): Broker-Dealer Resolves SEC Enforcement Action for Faulty Electronic Regulatory Submissions for US $2.75 Million Fine
  • Katten Muchin Rosenman LLP
  • USA
  • September 16 2018

The Securities and Exchange Commission brought and settled an enforcement action against Convergex Execution Solutions


Brooklyn Federal Court Rules ICO-Issued Digital Assets Could Be Securities
  • Katten Muchin Rosenman LLP
  • USA
  • September 16 2018

A US federal court in Brooklyn, New York, declined to dismiss a criminal indictment against Maksim Zaslavskiy charging him


Broker-Dealer and Affiliate Agree to Pay More Than US $12 Million to Resolve SEC Charges for Allegedly Misleading Dark Pool Practices
  • Katten Muchin Rosenman LLP
  • USA
  • September 16 2018

Citigroup Global Markets, Inc. and Citi Order Routing and Execution, LLC agreed to disgorge profits and pay interest of US $5.437 million