News & Analysis as of

Investment Funds Financial Industry Regulatory Authority (FINRA) United Kingdom

Katten Muchin Rosenman LLP

Financial Markets and Funds Quick Take | Issue 5

On July 27, 2022, FINRA filed a proposed rule change with the SEC to make it easier for brokers to work from home. The proposed rule will add a category termed a “Residential Supervisory Location” under FINRA Rule 3110...more

Dorsey & Whitney LLP

This Week In Securities Litigation (Week ending August 14, 2015)

Dorsey & Whitney LLP on

A second insider trading action was brought by the Commission against a senior banking official based on the same take-over for which he was previously charged — but a different securities trading account is at the center of...more

Dorsey & Whitney LLP

This Week In Securities Litigation (The week ending January 10, 2014)

Dorsey & Whitney LLP on

The insider trading trial of former SAC Capital official Matthew Martoma opened this week in Manhattan with jury selection. The SEC announced the resignation of George Canellos, Co-director of the Division of Enforcement....more

Dorsey & Whitney LLP

This Week In Securities Litigation (Week ending December 20, 2013)

Dorsey & Whitney LLP on

Michael Steinberg, formerly of SAC Capital, was found guilty of insider trading by a jury. The verdict preserved the unblemished record of the US Attorney’s Office in Manhattan which has prevailed in each of the insider...more

4 Results
 / 
View per page
Page: of 1

"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:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide