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

Introducing Personal Liability Into Corporate Negligence: An Analysis of the Trek Leather Decision

Are you an owner or officer of a small or midsize business? An import or trade compliance professional? Someone whose job responsibilities include some aspect of the process of importing merchandise into the United States,…more
| Commercial Law & Contracts, Personal Injury, International Law & Trade

Banking Agencies Request Comment on Proposed Questions and Answers Regarding Community Reinvestment

On September 8, the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation, and the Office of the Comptroller of the Currency requested comment on proposed revisions to the “Interagency…more
| Finance & Banking

UK Court Decision Demonstrates Importance of Compliance With ISDA Market Quotation Procedures

The High Court of England and Wales (Commercial Court) recently decided in favor of Lehman Brothers Finance S.A. (in liquidation) (LBF) against Sal. Oppenheim Jr. & Cie. KGAA (Oppenheim). The matter involved a dispute over the…more
| Bankruptcy, Civil Remedies, Commercial Law & Contracts, Finance & Banking

Federal Reserve and CFPB Announce Increases in Dollar Thresholds in Regulations Z and M for Exempt Consumer Credit and Lease Transactions

On September 9, the Federal Reserve Board and the Consumer Financial Protection Bureau (CFPB) announced increases in the dollar thresholds in Regulation Z (Truth in Lending) and Regulation M (Consumer Leasing) for exempt…more
| Commercial Law & Contracts, Finance & Banking, Consumer Protection

Between Bridges: Federal Court Tosses Out Challenges to CFTC Cross-Border Guidance and Policy Statement

A United States federal court on September 16, 2014, mostly tossed out all legal challenges brought by three industry groups to the cross-border guidance and policy statement initially issued by the Commodity Futures Trading…more
| Civil Procedure, Commercial Law & Contracts, Finance & Banking, International Law & Trade, Securities Law

AIFMD: Additional Alternative Investment Fund (AIF) Data Request by FCA

On August 22, the UK Financial Conduct Authority (FCA) contacted a number of firms that had previously submitted to the FCA an earlier version of the required AIF schedule as part of their FCA application, to request that…more
| Commercial Law & Contracts, Finance & Banking, International Law & Trade, Securities Law

Investment Management Firm Discloses Wells Notice Over Performance Claims

F-Squared Investments, Inc. (F-Squared), a registered investment manager that provides portfolios of exchange-traded funds (ETFs), recently disclosed that it received a Wells notice from the Securities and Exchange Commission…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

OTC Derivatives Regulators Issue Report Regarding Cross-Border Issues

On September 10, the Over-the-Counter Derivatives Regulators Group (ODRG) issued a report providing an update to the Group of 20 (G20) on its progress in resolving over-the-counter (OTC) derivatives cross-border implementation…more
| Finance & Banking, International Law & Trade, Securities Law

Eighth Circuit Clarifies False Claims Act Pleading Standards for Whistleblowers

The United States Court of Appeals for the Eighth Circuit recently held that whistleblowers may satisfy the False Claims Act’s (FCA) heightened pleading standards without providing representative examples of false claims, such…more
| Civil Procedure, Labor & Employment Law, Health, Government Contracting

First Bitcoin Swap Proposed

According to Reuters reports on September 12, TeraExchange, LLC, received approval from the Commodity Futures Trading Commission to begin listing an over-the-counter swap that is based on the price of a bitcoin…more
| Finance & Banking, Science, Computers, & Technology, Securities Law

CFTC Aligns CPO Regulation With JOBS Act, Provides Other Guidance for CPOs

The Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (DSIO) recently issued several letters affecting commodity pool operators (CPOs): JOBS Act Harmonization: On September 9, DSIO…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

CBOE and C2 in Discussions With FINRA for Regulatory Services

CBOE Holdings Inc., the parent company of the Chicago Board Options Exchange (CBOE) and the C2 Options Exchange (C2), has issued a news release announcing that CBOE and C2 are in discussions with the Financial Industry…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

SEC Proposes Rule for Communications Involving Security-Based Swaps

On September 8, the Securities and Exchange Commission proposed a rule providing that publication or distribution of quotes involving security-based swaps that may be purchased only by eligible contract participants would not be…more
| Commercial Law & Contracts, Securities Law

FINRA Board to Consider Rule Proposals Regarding Private Trading Platforms

The Board of Governors (the Board) of the Financial Industry Regulatory Authority is scheduled to meet on September 19 to consider rule proposals requiring heightened oversight of computerized trading strategies and greater…more
| Finance & Banking, Science, Computers, & Technology, Securities Law

Bridging the Week - September 2014

CFTC Sues Lawyer in Federal Court for Aiding and Abetting Clients’ Legal Violations - Jay Grossman, a Florida-based attorney, was sued by the Commodity Futures Trading Commission in a federal court in Florida for…more
| Commercial Law & Contracts, Criminal Law, Finance & Banking, International Law & Trade, Securities Law
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Areas of Practice
  • Alternative Dispute Resolution (ADR)
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Other U.S. Locations
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400+ Attorneys

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