| Mar 3 2022 |
New and Familiar Compliance Challenges for FINRA Members in 2021 and What That Means for 2022 |
Katten |
| May 6 2016 |
Consumer Financial Protection Bureau To Outlaw Mandatory Pre-Dispute Arbitration Provisions |
Katten |
| Sep 29 2014 |
Peregrine; Smoot-Hawley; Unauthorized Swap Trades; Ontario Exemptions; Father and Son Sanctioned Together - Bridging the Week: September 22 to 26 and September 29, 2014 |
Katten |
| Sep 17 2021 |
New FTC Rules Leave Contemporary NAD/NARB Questions Unanswered |
Katten |
| Nov 21 2016 |
2016 Year-End Estate Planning Advisory |
Katten |
| Mar 12 2021 |
The Desirability of Registering a New International Interest When Extending the Term of a Lease |
Katten |
| Feb 1 2014 |
FinCEN Issues Money Services Businesses (MSB) Guidance for Bitcoin Miners, Investors and Software Developers |
Katten |
| Nov 10 2017 |
CFTC’s Division of Clearing and Risk Provides No-Action Relief to Certain Foreign Financial Institutions From Swap Clearing Requirements |
Katten |
| Jan 13 2019 |
NFA Amends Interpretive Notice Regarding ISSPs |
Katten |
| Oct 4 2014 |
Institutional Shareholder Services (ISS) Publishes Results of Annual Global Voting Policy Survey |
Katten |
| May 8 2020 |
CFTC Announces Global Markets Advisory Committee Meeting |
Katten |
| May 9 2015 |
CFTC Determines That Wholly Owned Securitization SPVs of Captive Finance Companies May Elect End-User Exception |
Katten |
| Jul 1 2019 |
Bridging by Gary DeWaal: June 24 – 28, and July 1, 2019 (Wash Sales; Another Spoofing Settlement) [VIDEO] |
Katten |
| May 11 2015 |
Spoofing Redux; Virtual Currencies; Larger Tick Size; Block Trades; CCP Equivalency; SEC Forum Choices: Bridging the Week: May 4 to 8 and 11, 2015 |
Katten |
| Aug 17 2023 |
Federal Reserve Warns Against Potential Risks Posed by Quantum Computers and AI |
Katten |
| Jan 22 2019 |
Interim IRS Guidance on New Executive Compensation Requirements for Tax-Exempt Entities Creates New Challenges |
Katten |
| Jul 8 2019 |
Bridging the Week by Gary DeWaal: July 1 – 5, and July 8, 2019 (Banning Cryptocurrency Futures; Apple Computer; Position Limits Violation) |
Katten |
| Jul 12 2019 |
CFTC Staff Provide Guidance, No-Action Relief With Respect to the Treatment of Separate Accounts by FCMs |
Katten |
| Jul 14 2019 |
Division of Trading and Markets and FINRA Staffs Issue Joint Statement on Broker-Dealer Custody of Digital Asset Securities |
Katten |
| May 15 2020 |
NFA to Host Webinar on Regulatory Oversight in a Virtual Environment |
Katten |
| May 24 2015 |
FINRA Requests Comment on Proposed Amendments to Rules Governing Communications With the Public |
Katten |
| Apr 14 2013 |
ICE Clear Europe Authorized to Portfolio Margin Swaps and Security-Based Swaps |
Katten |
| Dec 9 2016 |
CFTC Finalizes Aggregation Rules and Re-Proposes Position Limits Rule |
Katten |
| Feb 4 2019 |
Bridging the Week by Gary DeWaal: January 28 – February 1 and February 4, 2019 (Spoofing; SEF Trading; Security Tokens; Bitcoin Sales) [VIDEO] |
Katten |
| Apr 21 2013 |
SEC and Commodity Futures Trading Commission (CFTC) Adopt Joint Rules to Help Protect Investors from Identity Theft |
Katten |
| Dec 1 2017 |
FASB Ceases Work on Proposal To Amend Definition of “Materiality” for US GAAP |
Katten |
| Oct 11 2014 |
CFTC Hears Testimony on Bitcoin |
Katten |
| May 22 2020 |
COVID-19-Related Criminal and Civil Enforcement Activity Ramps Up |
Katten |
| May 19 2017 |
CFPB Requests Information Regarding the Small Business Lending Market |
Katten |
| May 5 2013 |
Securities and Exchange Commission (SEC) Issues Proposal Regarding Cross-Border Security-Based Swap Activities |
Katten |
| May 22 2017 |
Bridging the Week: May 15-19, May 22, 2017 (Unintended Consequences; Ransomware; Insider Trading; Alleged Lying) [VIDEO] |
Katten |
| May 22 2017 |
US Supreme Court Limits Venue in Patent Cases—Is It the Death Knell for Forum Shopping? |
Katten |
| Nov 2 2014 |
SEC Provides Relief to Goldman Sachs Execution & Clearing (GSEC) From Rule 204 Close-Out Requirements |
Katten |
| Jun 12 2015 |
Six Federal Regulators Issue Final Interagency Policy Statement on Diversity Policies and Practices of Regulated Entities |
Katten |
| Dec 15 2017 |
CFTC Requests Comment on Proposed Exemptive Order to Permit ICE Clear Credit, ICE Clear US and ICE Clear Europe to Invest Customer Funds in French and German Sovereign Debt |
Katten |
