| Jan 3 2023 |
Treasury Releases Guidance on Electric Vehicle Tax Credits |
Katten |
| May 3 2019 |
FINRA Issues Warning on Imposter Website Threat |
Katten |
| Mar 10 2017 |
ISS Updates Frequently Asked Questions for US Proxy Voting Policies and Procedures for 2017 |
Katten |
| Mar 10 2017 |
FINRA Proposes Rule to Revise Qualification and Registration Requirements |
Katten |
| Sep 30 2016 |
CFTC Expands Clearing Requirement to Include Additional Interest Rate Swaps |
Katten |
| Apr 17 2020 |
CFTC Approves Final Rules Regarding Margin Requirements for ESM and Consumer Privacy |
Katten |
| Dec 20 2019 |
SEC Proposes New Rules to Implement Resource Extraction Disclosure Rules |
Katten |
| Apr 17 2020 |
SEC Enhances Standards for Critical Market Infrastructure |
Katten |
| Nov 23 2013 |
Commodity Futures Trading Commission (CFTC) Announces Weekly Swaps Report |
Katten |
| Sep 29 2017 |
SEC Chairman Testifies Before Senate Banking Committee |
Katten |
| Dec 21 2019 |
FINRA’s Board of Governors Approves Two Rule Proposals |
Katten |
| Jun 27 2023 |
A New Era for Continuation Fund Transactions: ILPA Issues New Guidance |
Katten |
| Jun 28 2023 |
Coinbase, Inc. v. Bielski: Interlocutory Appeals on the Question of Arbitrability Automatically Stay District Court Proceedings |
Katten |
| Dec 6 2013 |
SEC Division of Corporation Finance Issues 14 New Compliance and Disclosure Interpretations (C&DIs) Relating to “Bad Actor” Rules |
Katten |
| Apr 1 2016 |
FINRA Proposes Amendment to Transactions in Exchange-Traded Managed Fund Shares Rule |
Katten |
| Feb 5 2021 |
SEC Requests Comment on Potential Money Market Fund Reform Options Highlighted in President’s Working Group Report |
Katten |
| Oct 14 2016 |
CFTC Proposes New Rules for Cross-Border Swaps |
Katten |
| Nov 19 2018 |
Bridging the Week by Gary DeWaal: November 12 - 16 and November 19, 2018 (New Employee Orientation; Whistleblowing; ICOs and SEC Path Forward) |
Katten |
| May 24 2019 |
CFTC and SEC Participate in the Signing Ceremony for the IOSCO Enhanced Multilateral MOU Concerning Cross-Border Enforcement |
Katten |
| Sep 18 2020 |
Securities and Exchange Commission (SEC) Updates, September 18, 2020 |
Katten |
| Mar 30 2015 |
Department of Interior Releases Revised Rules on Hydraulic Fracturing on Federal and Indian Lands |
Katten |
| Dec 21 2013 |
Agencies Issue Proposed Guidance on Tax Allocation Agreements Between Insured institutions and Their Holding Companies |
Katten |
| Feb 12 2021 |
NFA Publishes Series of Member Notices Related to Common Deficiencies and Other Regulatory Matters |
Katten |
| Mar 31 2017 |
FINRA Updates Web API Specifications for the TRACE Securitized Products |
Katten |
| Sep 6 2014 |
Banking Agencies Adopt Supplementary Leverage Ratio Final Rule |
Katten |
| Jan 5 2014 |
Commodity Futures Trading Commission (CFTC) Extends Relief from Oral Communication Recording Requirements |
Katten |
| Feb 13 2022 |
SEC Staff Observes Practices of Private Fund Advisers That Raise Concerns |
Katten |
| Mar 24 2013 |
Federal Court Rejects "Core Operations" Theory of Scienter in Battery Manufacturer Fraud Case |
Katten |
| Feb 19 2021 |
New Fees for Rate Paid Under Section 31 of the Exchange Act |
Katten |
| Jan 12 2014 |
SEC Division of Corporation Finance Issues Five Additional Compliance and Disclosure Interpretations (C&DI) Relating to “Bad Actor” Rule |
Katten |
| Mar 31 2013 |
SEC Approves on an Accelerated Basis FINRA Rule Change Relating to Margin Requirements for Credit Default Swaps |
Katten |
| Dec 7 2018 |
NFA Proposes To Amend Interpretive Notice on Information Systems Security Programs |
Katten |
| Jun 9 2019 |
SEC Adopts Rules and Interpretations To Enhance Protections and Preserve Choice for Retail Investors |
Katten |
| May 1 2020 |
CFTC and NFA Issue Temporary No-Action Relief for Principal or Associated Person Listings/Registrations |
Katten |
| Jan 19 2014 |
Commodity Futures Trading Commission (CFTC) Issues No-Action Relief to Futures Commission Merchants (FCM) Relating to Enhanced Customer Protection Rules |
Katten |
