Katten Muchin Rosenman LLP

525 West Monroe Street
Chicago, Illinois 60661-3693, United States

Contact: Vincent A. F. Sergi, National Managing Partner

  • 312.902.5200
  • 312.902.1061

Investment Adviser Challenges Constitutionality of SEC Administrative Proceedings

A registered investment adviser and its principal recently sued the Securities and Exchange Commission for declaratory and injunctive relief to stave off an imminent administrative enforcement action, alleging that the tenure…more
| Administrative Law, Civil Procedure, Constitutional Law, Finance & Banking, Securities Law

Beneficial Owner Disclosure and Its Potential Impact on Global Financial Businesses

As part of the continued international focus on combatting cross-border tax evasion and other financial crimes, during the June 2013 Lough Erne Summit presided over by the United Kingdom (G8 Summit), the G8 countries agreed to a…more
| Commercial Law & Contracts, Finance & Banking, Taxation

EU Commission Adopts New Prudential Rules Applicable to Financial Institutions

On October 10, the European Commission (Commission) adopted two delegated acts (Delegated Acts) under the Capital Requirements Regulation ((EU) 575/2013) (CRR)..…more
| Finance & Banking, International Law & Trade

FINRA Proposes to Revise Implementation Date for Supplemental Inventory Schedule

On October 10, the Financial Industry Regulatory Authority, Inc. proposed a rule change to revise the implementation date for the Supplemental Inventory Schedule (SIS) approved in SR-FINRA-2014-025. The due date for the first…more
| Finance & Banking, Securities Law

Delaware Chancery Rejects Books and Records Demand as Time-Barred

The Delaware Court of Chancery recently found that a shareholder’s demand for books and records was time-barred, as the alleged basis for a derivative action occurred nearly seven years ago and thus was well beyond any statute…more
| Civil Procedure, Commercial Law & Contracts, Business Torts, Securities Law

ISE Proposes to Amend Rules Regarding Information Barriers Between Customer and Proprietary Businesses

On September 30, the International Securities Exchange, LLC (ISE) proposed amendments to ISE Rules 810 (Limitations on Dealings) and 717 (Limitations on Orders) concerning information barriers between a member firm’s Electronic…more
| Commercial Law & Contracts, Finance & Banking, International Law & Trade, Securities Law

CFTC Provides Additional Relief to Certain Delegating CPOs

In response to industry comment, on October 15 the Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (DSIO) provided further relief from commodity pool operator (CPO) registration to a CPO…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

Bridging the Week - October 2014 #3

High-Frequency Trading Firm Pays US $1 Million for Serving Too Much “Gravy” on the Close From June to December 2009 - Athena Capital Research, LLC, a New York City-based high-frequency trading firm, settled charges…more
| Commercial Law & Contracts, Finance & Banking, Business Torts, International Law & Trade, Securities Law

ISS Releases 2015 Draft Voting Policy Changes for Comment

On October 15, Institutional Shareholder Services (ISS), a leading proxy advisory firm, released for comment draft voting policy changes for 2015. The two significant proposals that would impact US companies are as follows..…more
| Commercial Law & Contracts, Securities Law

SEC Investor Advisory Committee Releases Recommendations on Changes to Accredited Investor Definition

On October 9, the Investor Advisory Committee (Committee) established by the Securities and Exchange Commission released its recommendations for changes to the definition of “accredited investor” included in Rule 501 promulgated…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

Corporate and Financial Weekly Digest - Volume IX, Issue 41

In this issue: - ISS Releases 2015 Draft Voting Policy Changes for Comment - SEC Investor Advisory Committee Releases Recommendations on Changes to Accredited Investor Definition - FINRA Proposes to Revise…more
| Commercial Law & Contracts, Constitutional Law, Finance & Banking, International Law & Trade, Securities Law

The SEC's MCDC Initiative: Where To Go From Here

Issuers, underwriters and advisors in the municipal bond marketplace are facing unprecedented challenges from federal regulators in connection with both the issuance of bonds and ongoing post-issuance compliance. These…more
| Commercial Law & Contracts, Securities Law

Six Key Topics to Track During ICANN 51 in Los Angeles

The fifty-first international meeting of the Internet Corporation for Assigned Names and Numbers (ICANN) formally commences on Monday, October 13, 2014, in Los Angeles, marking what will likely be the most well-attended North…more
| Communications & Media Law, Intellectual Property, Science, Computers, & Technology

Jonathan Hill Confirmed as New European Commissioner for Financial Services

On October 8, members of the European Parliament’s Committee on Economic and Monetary Affairs voted 45-13 to confirm Jonathan Hill as the new European Commissioner for financial stability, financial services and capital markets…more
| Elections & Politics, Finance & Banking

District Court Dismisses Securities Class Action for Failure to Show Causal Connection

The US District Court for the Southern District of New York recently dismissed a securities class action against a battery manufacturer, finding that the plaintiffs failed to plead a causal connection between the alleged revenue…more
| Civil Procedure, Securities Law
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