| Dec 11 2020 |
NFA Issues Notice to Members Regarding Compliance Date Swaps Proficiency Requirements |
Katten |
| Oct 16 2023 |
The Manifold Compliance Challenges of Foreign Security Futures |
Katten |
| Apr 19 2014 |
Chicago Mercantile Exchange (CME) Group Issues Notice Prohibiting Transitory EFRPs |
Katten |
| Sep 20 2019 |
CFTC Extends Public Comment Period for Proposed Rules Pertaining to Cross-Border Clearing |
Katten |
| Jun 19 2020 |
SEC Chairman Clayton Provides Public Statement Regulation Best Interest and Form CRS |
Katten |
| Jul 15 2016 |
SEC Division of Corporation Finance Issues New C&DIs on A/B Exchanges |
Katten |
| Jan 6 2017 |
FINRA Publishes 2017 Regulatory and Examination Priorities Letter |
Katten |
| Dec 7 2021 |
Key Takeaways: CFTC's FY 2021 Swap Dealers Enforcement Actions |
Katten |
| Oct 24 2023 |
The SEC Adopts New Short Sale Reporting Requirements for Institutional Investment Managers |
Katten |
| Mar 7 2019 |
Supreme Court Confirms Registration is Prerequisite to Claim for Infringement |
Katten |
| Mar 8 2019 |
CFTC Issues Advisory on Violations of the CEA Involving Foreign Corrupt Practices |
Katten |
| Dec 13 2014 |
Basel Publishes Assessment Reports for the European Union and United States |
Katten |
| Jun 26 2020 |
SEC Antitrust Memo; Chairman Speaks on Equity Market Structure; FINRA CAB Suitability |
Katten |
| May 10 2014 |
Securities and Exchange Commission (SEC) Approves Financial Industry Regulatory Authority (FINRA) Rule Change to Limit Self-Trading |
Katten |
| Nov 15 2012 |
Banking Agencies Expect to Delay Implementation of New Capital Rules Beyond January 1, 2013 |
Katten |
| Dec 19 2014 |
CFTC Extends Relief from Certain Recordkeeping Requirements |
Katten |
| Jan 12 2018 |
FINRA Releases 2018 Regulatory and Examination Priority Letter |
Katten |
| Dec 23 2020 |
Fintech Update and the Road Ahead |
Katten |
| Jul 24 2015 |
Federal Reserve Issues Final Rule Requiring GSIBs to Bolster Capital |
Katten |
| Oct 25 2019 |
CFTC, Among Other US Financial Regulatory Agencies, Joins the Global Financial Innovation Network |
Katten |
| Jul 28 2015 |
When Bad Faith Opportunities Knock: Expanding What Behaviors May Warrant Transfer of a Domain Name |
Katten |
| Jul 30 2017 |
Volcker Rule Developments |
Katten |
| Aug 24 2013 |
United States Patent and Trademark Office (USPTO) Publishes Draft Trademark Examination Guide Update Regarding Applications for Marks Comprised of Generic Top-Level Domains (gTLDs) |
Katten |
| Mar 27 2020 |
Regulatory Relief Issued for CPOs and CTAs |
Katten |
| Aug 24 2018 |
SEC Amends Disclosure Obligations in Municipal Securities Market |
Katten |
| Feb 15 2016 |
Bridging the Week: February 8–12 and 16, 2016 (Cross-Border Security Swaps; London Whale; Transatlantic Accord; Spoofing; MiFID II Delay; MF Global; Cybersecurity) [VIDEO] |
Katten |
| Sep 1 2013 |
Commodity Futures Trading Commission (CFTC) Issues Interpretation of “Actual Delivery” |
Katten |
| Dec 31 2012 |
National Futures Association "NFA" Provides Bylaw 1101 Guidance to Commodity Pool Operators of Investment Companies |
Katten |
| Aug 4 2017 |
FINRA and SIPC Agree To Streamline the Annual Report Filing Process for Broker-Dealers |
Katten |
| Jan 26 2018 |
CFTC’s Market Risk Advisory Committee Releases Agenda for Upcoming Public Meeting |
Katten |
| Aug 31 2018 |
CFTC Grants No-Action Relief Relating to Counting Toward the Swap Dealer Registration De Minimis Threshold |
Katten |
| Jun 8 2014 |
Commodities Futures Trading Commission (CFTC) and Reserve Bank of Australia Sign Memorandum of Understanding Regarding Cross-Border Clearing Organizations |
Katten |
| Feb 19 2016 |
SEC Issues No-Action Letters With Respect to Rule 14a-8(i)(10) |
Katten |
| Aug 7 2015 |
SEC Finalizes Rule on Pay Ratio Disclosure |
Katten |
| Feb 3 2017 |
FINRA and ISG Update Electronic Blue Sheet Data Elements |
Katten |
