Kathy H. Rocklen

Kathy H. Rocklen

Proskauer Rose LLP

Contact  |  View Bio  |  RSS

Latest Publications

Share:

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

3 Results
|
View per page
Page: of 1