News & Analysis as of

Enforcement Actions Audits European Securities and Markets Authority (ESMA)

Katten Muchin Rosenman LLP

Corporate and Financial Weekly Digest, Featuring Topics on Broker/Dealer, Derivatives, CFTC and UK/EU Developments

BROKER-DEALER - FINRA Releases New Targeted Exam Letter Regarding Order Routing Conflicts - On November 10, the Financial Industry Regulatory Authority released the contents of a new Order Routing Conflicts targeted...more

Dorsey & Whitney LLP

This Week In Securities Litigation (The week ending January 24, 2014)

Dorsey & Whitney LLP on

The insider trading trial of former SAC Capital employee Matthew Martoma continued this week. The SEC filed one new administrative proceeding this week as Washington, D.C. and much of the East coast was blanketed with snow...more

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