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Katten Muchin Rosenman LLP
James Van De Graaff
James Van De Graaff
Katten Muchin Rosenman LLP
Foreign Listed Stock Index Futures And Options Approval Chart
24 Apr 2014 | United States
SEC Issues Frequently Asked Questions On Supervisory Liability of Broker-Dealer Compliance And Legal Personnel Under Section 15(b)(4) And 15(b)(6) Of The Exchange Act
09 Oct 2013 | United States
The JOBS Act: Congress Overhauls Laws Governing Capital Raising For Most Issuers And Reporting For New Public Companies
03 Apr 2012 | United States
The SEC’s Heightened Scrutiny Of Broker-Dealer Municipal Securities Underwriting And Public Entity Sales Practices
01 Mar 2012 | United States
Foreign Listed Stock Index Futures and Options Approvals Chart
22 Feb 2012 | United States
MiFID II—How It Affects Proprietary Traders And Algorithmic Traders
23 Nov 2011 | European Union
SEC Adopts Large Trader Reporting Rule
09 Aug 2011 | United States
SEC Extends Compliance Date For Certain Requirements Of The Market Access Rule
15 Jul 2011 | United States
SEC Issues Proposed Rules Requiring Registration Of Municipal Advisors
04 Mar 2011 | United States
SEC Adopts New Rule Concerning Risk Management Controls for Broker-Dealers with Market Access
22 Nov 2010 | United States
FINRA Provides Guidance on Broker-Dealer Funding and Liquidity Risk Management Practices
12 Nov 2010 | United States
SEC Adopts New Short Sale Price Test Rules
12 Mar 2010 | United States
SEC Publishes Equity Market Structure Concept Release With Focus On High Frequency Trading, Co-Location, Market Data Latencies And Undisplayed Liquidity
03 Feb 2010 | United States
SEC Proposes New Market Access Rule And Approves Modifications To The Sponsored Access Rule Of The Nasdaq Stock Market
02 Feb 2010 | United States
SEC Proposes Rules And Amendments Regarding Regulation Of Non-Public Trading Interest ("Dark Pools")
23 Dec 2009 | United States
OFAC Issues Guidance Regarding Scope Of OFAC Compliance Programs
12 Nov 2008 | United States
SEC Adopts Final Short Selling Rules
30 Oct 2008 | United States
New Emergency Short Sale Rules Effective September 18, 2008
19 Sep 2008 | United States
SEC Issues Emergency Order To Limit “Naked” Short Sales In Certain Financial Securities
25 Jul 2008 | United States
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