| Sep 11 2015 |
FCA Issues Consultation on Implementation of UCITS V and Changes to UK Investment Funds Rules |
Katten |
| Sep 22 2017 |
Implementation of Pay Ratio Disclosure Requirement Not Expected to Be Delayed |
Katten |
| Feb 25 2013 |
Southern District of New York (SDNY) Finds Lack of Personal Jurisdiction in Foreign Corrupt Practices Act Claim |
Katten |
| Sep 17 2015 |
US Reporter Deadlines for Bureau of Economic Analysis BE-180 Report |
Katten |
| Mar 22 2016 |
OCR Kicks Off HIPAA Audits After Issuing Two Major Settlements |
Katten |
| May 3 2019 |
CBOE Proposes Changes to Its Processes and Rules Concerning Investigative and Disciplinary Matters |
Katten |
| Nov 15 2013 |
Commodity Futures Trading Commission (CFTC) Issues Guidance Regarding Swap Execution Facilities |
Katten |
| Aug 31 2020 |
FinCEN Issues Additional FAQs to Address Questions Regarding Customer Due Diligence Requirements for Covered Financial Institution |
Katten |
| Mar 4 2013 |
Financial Crimes Enforcement Network (FinCEN) Issues Advisory to Financial Institutions: Update on Tax Refund Fraud and Related Identity Theft |
Katten |
| Mar 25 2016 |
Regulators Issue New Guidance Related to Certain Prepaid Cards |
Katten |
| Jul 27 2021 |
Going Direct: The Factors Driving Direct Investment Strategies and the Barriers to Adoption |
Katten |
| Nov 23 2013 |
Commodity Futures Trading Commission (CFTC) Provides Relief for Intended-to-Be-Cleared Swaps |
Katten |
| Sep 25 2015 |
SEC Proposes Liquidity Management Rules for Mutual Funds and ETFs |
Katten |
| Dec 20 2019 |
CFTC Approves Final and Proposed Rules for DCOs, Swap Dealers, Major Swap Participants and Other Market Participants |
Katten |
| Mar 11 2013 |
Frequently Asked Questions About Legal Entity Identifiers |
Katten |
| Dec 6 2013 |
NASDAQ Proposes Change to Listing Rules Regarding Compensation Committee Independence |
Katten |
| Mar 24 2017 |
FINRA Seeks Comment on Engagement Programs |
Katten |
| May 17 2019 |
FINRA Launches Initiative to Simplify Firms’ Digital Experience With FINRA, Facilitating More Efficient and Effective Compliance Programs |
Katten |
| Mar 14 2013 |
IRS Releases Audit Memorandum on Another Historic Tax Credits "HTC" Transaction |
Katten |
| Mar 17 2013 |
SEC (Securities and Exchange Commission) Approves Off-Balance Sheet Supplemental Schedule |
Katten |
| Mar 22 2015 |
SEC Staff Issues New FAQs on Regulation SHO |
Katten |
| Oct 7 2015 |
The Court of Justice of the European Union Sinks the Safe Harbor Program |
Katten |
| Oct 21 2016 |
SEC Approves FINRA’s TRACE Amendments for CMO Transactions |
Katten |
| Jan 26 2023 |
Not-So-Open Gaming License: Dungeons & Dragons Publisher Tries to Tighten Grip on Third-Party Content |
Katten |
| Mar 31 2017 |
FINRA Issues Regulatory Notice on GASB Accounting Support Fee |
Katten |
| Dec 20 2013 |
Federal Deposit Insurance Corporation (FDIC) Issues Latest Supervisory Insights Journal (Winter Edition) |
Katten |
| Oct 20 2017 |
Reminder: Action Required by December 31 To Avoid Losing DMCA Safe Harbor Protection |
Katten |
| Oct 20 2017 |
SEC-Proposed Amendments to Modernize, Simplify and Increase the Accessibility of Required Disclosure |
Katten |
| Mar 30 2013 |
Departments of Health and Human Services, Labor and Treasury Release Waiting Period Regulations for Group Health Plans |
Katten |
| Sep 7 2014 |
Federal Banking Regulators Finalize Liquidity Coverage Ratio |
Katten |
| Jan 4 2014 |
Commodity Futures Trading Commission (CFTC) Issues No-Action Relief from Certain Swap Data Reporting Requirements |
Katten |
| Sep 25 2020 |
NFA Announces Webinar to Debut Updated Annual Questionnaire |
Katten |
| Apr 7 2013 |
Attacks on Proxy Statement Equity Compensation Disclosure |
Katten |
| Oct 28 2017 |
FINRA Proposes to Make Permanent a TRACE-Reporting Exemption |
Katten |
| Jan 11 2014 |
Judges Raise Concerns Regarding SEC (Securities and Exchange Commission) Conflict Minerals Rule at Appeal Hearing |
Katten |
