Tenley Mochizuki

Katten Muchin Rosenman LLP

+ Follow Contact

Latest Posts › Broker-Dealer

Share:

SEC Obtains Settlement for Violations of Registration Rules and “Layering”

The Securities and Exchange Commission recently announced a settlement with two brokerage firms and certain of their executives for improper compensation-sharing and “layering,” a strategy in which a trader places and later...more

4/17/2014 / Broker-Dealer , Executive Compensation , Securities and Exchange Commission (SEC) , Settlement

Corporate and Financial Weekly Digest - Volume IX, Issue 15

In this issue: - SEC Issues New FAQs on Conflict Minerals - SEC Issues Frequently Asked Questions Regarding the Amendments to the Broker-Dealer Reporting Rule - FINRA Requests Comment on Rules Regarding...more

4/14/2014 / Broker-Dealer , CFTC , Collateralized Loan Obligations , Conflict Mineral Rules , Financial Industry Regulatory Authority (FINRA) , Leverage Capital Ratio , MTFs , Securities and Exchange Commission (SEC) , Swaps

Ninth Circuit Affirms Radical Bunny LLC Managers’ Securities Violations

The US Court of Appeals for the Ninth Circuit upheld summary judgment in favor of the Securities and Exchange Commission, finding that managers of unregistered broker-dealer Radical Bunny LLC (Radical Bunny) failed to raise...more

7/25/2013 / Broker-Dealer , False Statements , Fraud , Policy Violations , Registration , Securities and Exchange Commission (SEC) , Summary Judgment

3 Results

View per page

Page: of 1