Katten Muchin Rosenman LLP

Contact
Share
Info
525 West Monroe Street
Chicago, Illinois 60661-3693, United States
Contact: Vincent A. F. Sergi, National Managing Partner
Phone: 312.902.5200
Fax: 312.902.1061
Areas of Practice
  • Alternative Dispute Resolution (ADR)
  • Antitrust & Trade Regulation
  • Appellate Practice
  • Art, Entertainment, & Sports Law
  • Bankruptcy
  • Business Organizations
  • Commercial Law & Contracts
  • Communications & Media Law
  • Construction Law
  • Debtor/Creditor
  • Energy & Utilities
  • Environmental Law
  • Finance & Banking
  • Health
  • Insurance
  • Intellectual Property
  • International Law & Trade
  • Labor & Employment Law
  • Litigation
  • Mergers & Acquisitions
  • Privacy
  • Real Estate
  • Securities Law
  • Taxation
  • Toxic Torts
  • Transportation
  • Wills, Trusts, & Estate Planning
  • Zoning, Planning & Land Use
See more
Locations
Other U.S. Locations
  • California
  • D.C.
  • Illinois
  • New York
  • North Carolina
  • Texas
Other Countries
  • China
  • United Kingdom
Number of Attorneys
400+ Attorneys

Corporate & Financial Weekly Digest, Featuring Topics on Broker-Dealer, CFTC, Derivatives and EU Developments

BROKER-DEALER - FINRA Publishes Regulatory Notice Regarding 2018 GASB Accounting Support Fee - On April 17, the Financial Industry Regulatory Authority issued Regulatory Notice 18-12, which announces that FINRA will…more
 /  Business Organizations, Finance & Banking, International Law & Trade, Securities Law

Bridging the Weeks - April 2018 #4

A California federal court may be poised to dismiss an enforcement action brought by the Commodity Futures Trading Commission that could challenge the agency’s view of when financed sales of commodities to retail persons are…more
 /  Business Organizations, Commercial Law & Contracts, Finance & Banking, Science, Computers, & Technology, Securities Law

Bridging the Weeks - April 2018 #3

Last week, a broker-dealer was fined US $1.575 million by the Financial Industry Regulatory Authority and other self-regulatory organizations for not complying with market access requirements for gatekeepers, while the Commodity…more
 /  Business Torts, Commercial Law & Contracts, Finance & Banking, Securities Law

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

BROKER-DEALER - Nasdaq Has Proposed a New Rule Change To Modify Its System of Volume-Based Credits - The Nasdaq Stock Market LLC (Nasdaq) has filed with the Securities and Exchange Commission a proposed rule change to…more
 /  Business Organizations, Commercial Law & Contracts, Finance & Banking, International Law & Trade, Securities Law

Corporate & Financial Weekly Digest, Featuring Topics on SEC and UK/EU/Brexit Developments

SEC/CORPORATE - Delaware State Bar Association Council Releases Proposed Amendments to the Delaware General Corporation Law - The Corporate Council of the Corporation Law Section of the Delaware State Bar Association…more
 /  Business Organizations, Commercial Law & Contracts, Finance & Banking, International Law & Trade, Securities Law

Bridging the Weeks - April 2018 #2

Two broker-dealers’ purported failure to act on red flags – both involving customer trading – resulted in separate Securities and Exchange Commission enforcement actions against the firms. In connection with one action, two…more
 /  Business Organizations, Finance & Banking, Securities Law

A Closer Look at the 5th Circuit Decision Vacating the Fiduciary Rule

On March 15, the Court of Appeals for the Fifth Circuit vacated, in its entirety, amendments to Rule 29 C.F.R. § 2510.3-21 ("Fiduciary Rule"), codifying the Obama-era's expansive definition of the term "investment advice…more
 /  Administrative Law, Civil Procedure, Finance & Banking, Labor & Employment Law

Corporate & Financial Weekly Digest, Featuring Topics on Broker-Dealer, CFTC, Brexit and UK and EU Developments

BROKER-DEALER - FINRA Requests Comment on the Effectiveness and Efficiency of Its Carrying Agreements Rule - On March 23, the Financial Industry Regulatory Authority (FINRA) announced it is conducting a retrospective…more
 /  Business Organizations, Finance & Banking, International Law & Trade, Securities Law

Bridging the Weeks - April 2018

Two broker-dealers’ purported failure to act on red flags – both involving customer trading – resulted in separate Securities and Exchange Commission enforcement actions against the firms. In connection with one action, two…more
 /  Business Organizations, Finance & Banking, Science, Computers, & Technology, Securities Law

Corporate & Financial Weekly Digest, Featuring Topics on Brexit and UK and EU Developments

UK DEVELOPMENTS - FMSB Releases Draft Standard for Compensating Trade Errors - On March 20, the Fixed Income, Commodities and Currency Markets Standards Board (FMSB) published a draft of its transparency standard on…more
 /  Business Organizations, Elections & Politics, International Law & Trade

Bridging the Weeks - March 2018 #3

The Department of Justice and the Securities and Exchange Commission opposed a motion to dismiss filed by a defendant named in a criminal indictment, charging him with offering and selling two types of digital tokens issued in…more
 /  Business Organizations, Criminal Law, Science, Computers, & Technology, Securities Law, Taxation

Blockchain Technology May Enable Tracing in Securities Act Litigation

Blockchain technology is creating an ecosystem designed to accommodate peer-to-peer transactions without a trusted administrator or intermediary. On a blockchain platform, direct transactions are underpinned by blockchain's…more
 /  Business Organizations, Science, Computers, & Technology, Securities Law

5th Circuit Vacates DOL Fiduciary Rule

In a decision dated March 15, the Court of Appeals for the 5th Circuit vacated the "fiduciary advice rule" (the Fiduciary Rule) that became effective on June 9, 2017…more
 /  Civil Remedies, Finance & Banking, Labor & Employment Law

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

BROKER-DEALER - SEC Proposes Transaction Fee Pilot Program On March 14, the Securities and Exchange Commission proposed new Rule 610T of Regulation National Market System (Reg NMS), which would create a Transaction Fee…more
 /  Business Organizations, Finance & Banking, International Law & Trade, Securities Law

Bridging the Week - March 2018 #2

J. Christopher Giancarlo, Chairman of the Commodity Futures Trading Commission, laid out his priorities for the remainder of 2018 in a speech before the FIA at its annual conference last week. Unrelatedly, the Securities and…more
 /  Business Organizations, Finance & Banking, Science, Computers, & Technology, Securities Law
Showing 1-15 of 3475 Results
/
View per page
Page: of 232
This profile may constitute attorney advertising. Prior results do not guarantee a similar outcome. Any correspondence with this profile holder does not constitute a client/attorney relationship. Neither the content on this profile nor transmissions between you and the profile holder through this profile are intended to provide legal or other advice or to create an attorney-client relationship.

"My best business intelligence,
in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up using*

Already signed up? Log in here

*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
*With LinkedIn, you don't need to create a separate login to manage your free JD Supra account, and we can make suggestions based on your needs and interests. We will not post anything on LinkedIn in your name. Or, sign up using your email address.