Insider Trading, CPOs

Bridging the Week - January 2019 #3

Katten Muchin Rosenman LLP on 1/23/2019

Last week the Securities and Exchange Commission filed an enforcement action against nine defendants related to its 2017 discovery that its Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system used for receiving...more

Bridging the Week - September 2016 #3

Katten Muchin Rosenman LLP on 9/29/2016

Advantage Futures LLC, Joseph Guinan, its majority owner and chief executive officer, and William Steele, who until May 2016 was Advantage’s chief risk officer, settled charges brought by the Commodity Futures Trading...more

Corporate & Financial Weekly Digest - Volume X, Issue 14

Katten Muchin Rosenman LLP on 4/13/2015

In This Issue: - NFA Updates BASIC to Assist With Bylaw 1101 Diligence on Delegating CPOs - Second Circuit Refuses to Rehear Groundbreaking Insider Trading Case - SEC Secures Victory on Fraud Allegations...more

Financial Services Weekly News Roundup - October 2014 #4

Goodwin on 10/23/2014

Editor’s Note: Bank Regulators Again Looking at Incentive Compensation and Excessive Risks. Federal Reserve Board Governor Daniel Tarullo and New York Federal Reserve President William Dudley spoke on October 20 at a...more

Bridging the Week - October 2014 #3

Katten Muchin Rosenman LLP on 10/21/2014

High-Frequency Trading Firm Pays US $1 Million for Serving Too Much “Gravy” on the Close From June to December 2009 - Athena Capital Research, LLC, a New York City-based high-frequency trading firm, settled charges...more

Financial Services Weekly News Roundup - October 2014 #2

Goodwin on 10/9/2014

Spotlight on the MSRB: In the Industry Developments section we report that the SEC, FINRA and the MSRB will be conducting a compliance outreach program for municipal advisors. The Municipal Securities Rulemaking Board was...more