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Investment Adviser › Alternative Investment Fund Managers Directive (AIFMD) › Broker-Dealer

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Topics on Broker-Dealer, Derivatives, CFTC, Digital Assets and Virtual Currencies,...

Katten Muchin Rosenman LLP on

BROKER-DEALER - SEC Disapproves BZX Proposed Rule Change to List Shares of Bitcoin-Based Exchange-Traded Product - On July 26, the Securities and Exchange Commission disapproved a Bats BZX Exchange proposed rule change...more

Pillsbury Winthrop Shaw Pittman LLP

Registered Firms: Annual Compliance Obligations—What You Need To Know

Pillsbury Winthrop Shaw Pittman LLP on

This alert contains a summary of the primary annual and periodic compliance-related obligations that may apply to investment advisers registered with the Securities and Exchange Commission (the “SEC”) or with a particular...more

Katten Muchin Rosenman LLP

Corporate and Financial Weekly Digest - March 22, 2013

Katten Muchin Rosenman LLP on

In this issue: - NASDAQ Proposes Internal Audit Function Requirement for Listed Issuers - FINRA’s Frequently Asked Questions on Electronic Blue Sheet Submissions Updated Regarding Order Execution Time -...more

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