Kathy H. Rocklen

Kathy H. Rocklen

Proskauer Rose LLP

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Broker-Dealer Beat - October 2014: Supervising Registered Employees of Foreign Affiliates

Supervising Registered Employees of Foreign Affiliates - NASD Rules 1021(a) and 1031(a) permit a FINRA member to register or maintain the registration as principal or representative of an individual who is engaged in...more

10/27/2014 - Affiliates Banks Broker-Dealer FINRA Foreign Affiliates Investment Banks NASD Registration

Broker-Dealer Beat - September 2014

The SEC recently settled an enforcement action against brokerage firm Monness, Crespi, Hardt & Co. ("MCH") for deficient insider trading procedures. This case is an important reminder of some key elements of effective insider...more

9/18/2014 - Broker-Dealer Brokers Enforcement Enforcement Actions Insider Trading SEC

Treatment of Foreign Banks under Section 716 of the Dodd-Frank Act and Related Push-Out Provisions

Last month, the Federal Reserve Board issued an Interim Final Rule that treats uninsured U.S. branches and agencies of foreign banks the same as insured depository institutions ("IDIs") for purposes of Section 716 of the...more

7/11/2013 - Banks CFTC Compliance Dodd-Frank Federal Reserve Foreign Banks Insured Depository Institutions SEC Section 716 Wall Street

SEC Rule 15a-6 Enforcement

Last week the Securities and Exchange Commission ("SEC") charged four India-based financial services firms for providing brokerage services to U.S. institutional investors without operating under a 15a-6 chaperoning agreement...more

12/5/2012 - Issuer Exemption Rule 15a-6 SEC

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