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SEC division deputy director discusses expectations for 2010 executive compensation disclosure
  • Katten Muchin Rosenman LLP
  • USA
  • November 13 2009

In a November 9 speech at the Fourth Annual Proxy Disclosure Conference: Tackling Your 2010 Compensation Disclosure, Shelley Parratt, Deputy Director of the Securities and Exchange Commission’s Division of Corporation Finance, outlined the SEC staff’s expectations for companies’ executive compensation disclosure for the 2010 proxy season.


FSA publishes feedback to Turner Review
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • October 9 2009

On September 30, the UK Financial Services Authority (FSA) published a response to the feedback it has received on the Turner Review and the related discussion paper DP092, both published on March 18.


ISE proposes rule changes regarding quoting obligations of competitive market makers
  • Katten Muchin Rosenman LLP
  • USA
  • November 7 2008

On October 21, the International Securities Exchange, LLC (ISE) submitted a proposal to the Securities and Exchange Commission to amend ISE Rules 713, 804, and 805 to establish a new quoting obligation for ISE Competitive Market Makers (CMMs).


FINRA issues guidance relating to illiquid investments
  • Katten Muchin Rosenman LLP
  • USA
  • June 20 2008

The Financial Industry Regulatory Authority has issued Regulatory Notice 08-30 providing guidance to member firms on obligations that may arise in connection with customer requests to sell generally illiquid securities and informing customers of buy interest in such securities.


Comments requested on financial industry regulatory framework
  • Katten Muchin Rosenman LLP
  • USA
  • October 12 2007

In connection with several ongoing initiatives concerning the international competitiveness of US capital markets, the Treasury Department has published a release requesting comments on a number of issues of significance to the financial services industry, including the securities and futures markets.



Martin Cornish
  • Katten Muchin Rosenman LLP

Robert L. Kohl
  • Katten Muchin Rosenman LLP