News & Analysis as of September 21, 2024

Broker-Dealer › Institutional Investment

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Corporate and Financial Weekly Digest - Volume IX, Issue 37

Katten Muchin Rosenman LLP on 9/22/2014

In this issue: - Council of Institutional Investors Issues Report on Board Evaluation Disclosure - FINRA Revises Proposal to Adopt Consolidated FINRA Rule 2231 - IRS Considers Whether Management Fees of...more

Second Circuit Holds Mandatory Broker Dealer Arbitration Not Available to Non-Customer

Katten Muchin Rosenman LLP on 6/5/2014

On May 15, the US Court of Appeals for the Second Circuit issued a summary order in a closely watched case regarding the circumstances in which a broker dealer may be compelled to arbitrate with an institutional counter-party...more

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Broker-Dealer › Institutional Investment

Corporate and Financial Weekly Digest - Volume IX, Issue 37

Second Circuit Holds Mandatory Broker Dealer Arbitration Not Available to Non-Customer

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