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141 results found

Article

Katten Muchin Rosenman LLP | USA | 4 Jan 2019

FINRA Files Proposed Rule Change Regarding Arbitration Subpoenas, Orders of Appearance of Witnesses and Production of Documents

On December 20, the Financial Industry Regulatory Authority filed a proposed rule change with the Securities and Exchange Commission to amend various

Article

Katten Muchin Rosenman LLP | USA | 16 Nov 2018

SEC Amends Rules to Increase Order Handling Disclosure

On November 2, the Securities and Exchange Commission adopted amendments to Rule 606 of Regulation NMS in order to require broker-dealers to provide

Article

Katten Muchin Rosenman LLP | USA | 14 Apr 2017

SEC Division of Corporation Finance Provides Update on Conflict Minerals Rule

On April 7, the Securities and Exchange Commission Division of Corporation Finance (the Division) issued a statement regarding the effect of recent

Article

Katten Muchin Rosenman LLP | USA | 31 Mar 2017

Investment Association Consults on New Code for Charges and Transaction Costs Disclosure

On March 27, the Investment Association (IA), the UK investment management trade association, opened a consultation on a new code (Code) for enhanced

Article

Katten Muchin Rosenman LLP | USA | 22 Jul 2016

SEC Proposes Amendments To Update and Simplify Disclosure Requirements: A Closer Look

On July 13, the Securities Exchange Commission proposed and requested comment regarding rule amendments to update and simplify certain disclosure

Article

Katten Muchin Rosenman LLP | USA | 15 Jul 2016

SEC Proposes Amendments To Update and Simplify Disclosure Requirements

On July 13, the Securities and Exchange Commission proposed rule amendments to update and simplify certain disclosure requirements that may have

Article

Katten Muchin Rosenman LLP | USA | 8 Jul 2016

SEC Approves NASDAQ’s ‘Golden Leash’ Disclosure Rule

On July 1, the Securities and Exchange Commission approved the NASDAQ Stock Market LLC's proposed Rule 5250(b)(3) (Rule), which requires listed

Article

Katten Muchin Rosenman LLP | USA | 29 Mar 2013

New York district court bars discovery of SEC’s requests for extension under Dodd-Frank

The US District Court for the Eastern District of New York recently ruled that Securities and Exchange Commission enforcement actions cannot be

Article

Katten Muchin Rosenman LLP | USA | 18 Jan 2013

Delaware Supreme Court refines standard for missed pre-trial deadlines

The Delaware Supreme Court recently announced a new standard refining the rules that govern litigants' requests for extensions. Since 2010, the

Article

Katten Muchin Rosenman LLP | USA | 11 May 2012

Financial statements and settlement negotiations of cooperating witnesses in SEC action not discoverable by defendants

The U.S. District Court for the Southern District of New York last week denied defendants Rajat Gupta and Raj Rajaratnam’s motion to compel documents concerning settlement negotiations between the Securities and Exchange Commission and various cooperating witnesses.

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