Isobel Markham
July 17, 2014 | The American Lawyer
Senators Ask Treasury to Address Investor Tax ConcernsThe bipartisan group has sent letters to the Treasury Department pushing for relief for money market fund investors from tax rules proposed by the SEC.
By Isobel Markham
3 minute read
July 17, 2014 | The American Lawyer
Barclays, Deutsche Bank To Appear At Senate HearingAt issue is their sale of products to hedge-fund manager Renaissance Technologies that reportedly enabled it to skirt borrowing limits and avoid taxes.
By Isobel Markham
3 minute read
July 17, 2014 | The American Lawyer
FSB Considers Changes to Benchmarking ProceduresBody may lengthen the one-minute trading windows during which benchmarks are set.
By Isobel Markham
2 minute read
July 17, 2014 | The American Lawyer
SEC's Piwowar Slams FSOC in SpeechCommissioner calls regulatory body “unaccountable and nontransparent.”
By Isobel Markham
2 minute read
July 17, 2014 | The American Lawyer
SEC Prepares to Review Accredited Investor StandardPeriodic reconsideration is mandated by the Dodd-Frank Act.
By Isobel Markham
2 minute read
July 16, 2014 | The American Lawyer
Trade Group Calls for Changes to Equities MarketAmong other things, SIFMA would overhaul the data feed that transmits stock prices.
By Isobel Markham
2 minute read
July 16, 2014 | The American Lawyer
Shareholders Allege Lions Gate Concealed SEC ProbeCompany allegedly misrepresented its transfer of 16 million shares to a director to help stave off a hostile takeover bid.
By Isobel Markham
3 minute read
July 16, 2014 | The American Lawyer
SEC Fines Ernst & Young $4 MillionCommission says that an E&Y subsidiary improperly lobbied for clients.
By Isobel Markham
3 minute read
July 15, 2014 | The American Lawyer
Wal-Mart Pushes Back Over FCPA DocumentsThe company says it should not have to hand over internal documents to shareholder.
By Isobel Markham
2 minute read
July 15, 2014 | The American Lawyer
FINRA May Bar Former Sterne Agee BrokerDean Mustaphalli allegedly set up a $6 million side hedge fund.
By Isobel Markham
2 minute read
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