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Results: 1-10 of 3,179

Bridging the Week by Gary DeWaal: September 18 to 22 and September 25, 2017 (My Affiliate’s Keeper? CFTC Flexes Cryptocurrency Muscle Can SEC Keep a Secret?)
  • Katten Muchin Rosenman LLP
  • Hong Kong, USA
  • September 24 2017

Last week, the Commodity Futures Trading Commission required a futures commission merchant to pay a fine of US $2.5 million to resolve charges it


SEC Division of Corporation Finance Issues New C&DIs on “Regulation A”
  • Katten Muchin Rosenman LLP
  • USA
  • September 22 2017

The Securities and Exchange Commission’s (SEC) Division of Corporation Finance (Division) recently issued three new Compliance and Disclosure


Implementation of Pay Ratio Disclosure Requirement Not Expected to Be Delayed
  • Katten Muchin Rosenman LLP
  • USA
  • September 22 2017

On September 15, at the ABA Business Law Section Annual Meeting, the Securities and Exchange Commission (SEC) Division of Corporation Finance


FINRA Delays Rule 4210 Margining of Covered Agency Transactions to June 2018
  • Katten Muchin Rosenman LLP
  • USA
  • September 22 2017

On September 19, the Financial Industry Regulatory Authority (FINRA) took action to delay until June 25, 2018, the implementation of margin


Spoofing Case Filed in Connecticut Against Overseas-Based Precious Metals Futures Trader
  • Katten Muchin Rosenman LLP
  • USA
  • September 17 2017

Last week, a criminal complaint was filed against Andre Flotron, a former precious metals trader for UBS Investment Bank (click here for background on


SEC Begins Proactively Suggesting Some Promoters Halt ICOs; the UK Financial Conduct Authority Joins Worldwide Regulators Saying that Digital Tokens Issued as Part of ICOs May Be Securities
  • Katten Muchin Rosenman LLP
  • USA
  • September 17 2017

Following the release of the Report of Investigation by the Securities and Exchange Commission in July, which concluded that certain digital tokens


OCIE Advises on Common Advertising Compliance Issues Identified During Investment Adviser Reviews:
  • Katten Muchin Rosenman LLP
  • USA
  • September 17 2017

The Office of Compliance Inspections and Examinations of the Securities and Exchange Commission issued guidance setting forth the most frequent


ESMA Publishes Further Guidance on Open Access Transitional Periods
  • Katten Muchin Rosenman LLP
  • USA
  • September 15 2017

The Markets in Financial Instruments Regulation (MiFIR) provides for a new "open access" regime between trading venues and central counterparties


New FCA Webpage on Updates to MiFID Notifications Obligations
  • Katten Muchin Rosenman LLP
  • USA
  • September 15 2017

On September 11, the UK Financial Conduct Authority (FCA) published a new webpage with an update on MiFID II notification requirements and procedures


SEC Commissioners Announce Search for First-Ever Advocate for Small Business Capital Formation
  • Katten Muchin Rosenman LLP
  • USA
  • September 15 2017

On September 13, the Commissioners of the Securities and Exchange Commission (SEC) announced the launch of a nationwide search for candidates to fill