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Securities Exchange Act › European Markets Infrastructure Regulation

The Securities Exchance Act is a United States federal statute enacted in 1934 to govern the secondary securities trading market. In addition, the Securities Exchange Act established the Securities and Exchange... more +
The Securities Exchance Act is a United States federal statute enacted in 1934 to govern the secondary securities trading market. In addition, the Securities Exchange Act established the Securities and Exchange Commission (SEC), which is the primary regulatory agency enforcing federal securities laws. less -
Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on SEC's Changes to Rule 14a-8 No-Action Request Process, FINRA's Call for...

Katten Muchin Rosenman LLP on

SEC/CORPORATE - SEC Staff Announces Changes to Rule 14a-8 No-Action Request Process - On September 6, the staff of the Division of Corporation Finance (the Staff) of the Securities and Exchange Commission announced...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on Filing Obligations for OTC Securities, Customer Funds Training, Market...

Katten Muchin Rosenman LLP on

BROKER-DEALER - FINRA Reminds Members of Obligations Related to OTC Securities Quoted by a Filed Form 211 - On September 24, the Financial Industry Regulatory Authority (FINRA) issued a Regulatory Notice (Notice)...more

Orrick, Herrington & Sutcliffe LLP

Orrick's Financial Industry Week in Review - February 18, 2014

Orrick, Herrington & Sutcliffe LLP on

CFTC and EC Statement on Regulatory Framework - On February 12, the CFTC and the European Commission announced jointly that the two agencies have made significant progress in their collaboration on the regulatory...more

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