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Article

Katten Muchin Rosenman LLP | USA | 10 Mar 2017

SEC Proposes Amendments to Rule 15c2-12

The Securities and Exchange Commission recently proposed amendments to Rule 15c2-12 under the Securities Exchange Act of 1934. Rule 15c2-12 prohibits

Article

Katten Muchin Rosenman LLP | USA | 17 Feb 2017

FINRA Files Proposed Rules With The SEC To Implement Consolidated Audit Trail Plan

The Financial Industry Regulatory Authority (FINRA) has filed proposed rules with the Securities and Exchange Commission to adopt FINRA Rule 6800

Article

Katten Muchin Rosenman LLP | USA | 17 Feb 2017

SEC Approves Pricing Disclosures for Fixed Income Securities

The Securities and Exchange Commission has approved amendments to Financial Industry Regulatory Authority (FINRA) Rule 2232 (Customer Confirmations)

Article

Katten Muchin Rosenman LLP | USA | 27 Jan 2017

MSRB Revises Customer Complaint and Related Recordkeeping Rules

The Securities and Exchange Commission has approved the Municipal Securities Rulemaking Board's (MSRB's) revisions to its customer complaint and

Article

Katten Muchin Rosenman LLP | USA | 2 Sep 2016

SEC To Approve FINRA and MSRB Pay-To-Play Rules

On August 25, the Securities and Exchange Commission (SEC) issued notices (Notices) to the Financial Industry Regulatory Authority and the Municipal

Article

Katten Muchin Rosenman LLP | USA | 1 Sep 2016

SEC Approves a Streamlined FINRA Rule Set for Certain Broker-Dealers Engaged Only in Limited Capital Raising Activities

On August 18, the Securities and Exchange Commission (SEC) issued an order approving proposed Financial Industry Regulatory Authority (FINRA) rules

Article

Katten Muchin Rosenman LLP | USA | 19 Aug 2016

FINRA Files Proposed Amendment to FINRA Rule 2232

On August 15, the Securities and Exchange Commission published the Financial Industry Regulatory Authority's proposed amendment to FINRA Rule 2232

Article

Katten Muchin Rosenman LLP | USA | 12 Aug 2016

FINRA Issues Notice Reminding Member Firms of “Time of Execution” Reporting

On August 10, the Financial Industry Regulatory Authority issued Regulatory Notice 16-30, which reminds member firms of their obligations to

Article

Katten Muchin Rosenman LLP | USA | 5 Aug 2016

FINRA Adopts Amendments on Resumption of Trading

The Financial Industry Regulatory Authority has adopted amendments to clarify the operation of the Regulation NMS Plan to Address Extraordinary

Article

Katten Muchin Rosenman LLP | USA | 29 Jul 2016

Proposed FINRA Rule Change To Clarify the Operation of the Regulation NMS Plan To Address Extraordinary Market Volatility

The Financial Industry Regulatory Authority is filing a proposed rule change (Proposal) with the Securities and Exchange Commission to clarify the

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