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216 results found

Article

Katten Muchin Rosenman LLP | USA | 6 Jan 2019

Company and Trader Agent Sanctioned by CBOT for Disruptive Trading

The Chicago Board of Trade brought and settled Disciplinary actions against Ajax Trading, LLC and one of its trader agents for allegedly engaging in

Article

Katten Muchin Rosenman LLP | USA | 13 Apr 2018

Nasdaq Has Proposed a New Rule Change To Modify Its System of Volume-Based Credits

The Nasdaq Stock Market LLC (Nasdaq) has filed with the Securities and Exchange Commission a proposed rule change to modify the current system of

Article

Katten Muchin Rosenman LLP | USA | 12 May 2017

FINRA Proposed Rule Change to the Consolidated Audit Trail

In February, pursuant to Regulation NMS, the various national securities exchanges and the Financial Industry Regulatory Authority (each, a

Article

Katten Muchin Rosenman LLP | USA | 18 Sep 2016

FINRA Fines Broker-Dealer US $850,000 for Ignoring Red Flags of Office Manager’s Theft of Client Funds

Ameriprise Financial Services, Inc., a broker-dealer, agreed to pay a fine of US $850,000 for its alleged failure to detect the conversion of US $370

Article

Katten Muchin Rosenman LLP | USA | 26 Aug 2016

CFTC Grants SEF Registration Status to Seed SEF LLC

On August 23, the Commodity Futures Trading Commission issued an Order of Registration granting Seed SEF LLC (Seed) full registration status as a

Article

Katten Muchin Rosenman LLP | USA | 8 Jul 2016

CFTC Releases Results of CBOE Futures Exchange Rule Enforcement Review

On June 29, the Commodity Futures Trading Commission's Division of Market Oversight (DMO) released the results of its trade practice rule enforcement

Article

Katten Muchin Rosenman LLP | USA | 28 Jun 2016

Structuring Equity Interests for Independent Sponsors

In a traditional private equity fund, the fund managers will raise money from investors to establish a pool of capital the fund can then use to

Article

Katten Muchin Rosenman LLP | USA | 3 Jun 2016

CFTC Grants Registration to Three Swap Execution Facilities

On May 26, the Commodity Futures Trading Commission granted full registered status to GTX SEF, LLC (GTX) of Bedminster N.J., TeraExchange, LLC (Tera)

Article

Katten Muchin Rosenman LLP | USA | 24 Oct 2014

Delaware Court of Chancery rejects controlling stockholder claims and applies business judgment rule to merger suits

In In re KKR Financial Holdings LLC Shareholder Litigation, C.A. No. 9210 (Del. Ch. Oct. 14, 2014), the Delaware Court of Chancery dismissed a

Article

Katten Muchin Rosenman LLP | USA | 19 Sep 2014

IRS considers whether management fees of an LLC are subject to self-employment tax

A recent response by the Internal Revenue Service Chief Counsel (CCA) to an inquiry from one of its field office agents addressed the question of

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