| Nov 10 2017 |
CFTC’s Division of Clearing and Risk Provides No-Action Relief to Certain Foreign Financial Institutions From Swap Clearing Requirements |
Katten |
| Oct 19 2020 |
SEC Proposal to Exempt Certain "Finders" from Broker-Dealer Registration May Allow Significant Capital Raising Activities by Non-Registered Persons |
Katten |
| May 8 2015 |
SEC Proposes Rules for Security-based Swap Activity of Non-US Persons in the United States |
Katten |
| Feb 8 2014 |
Commodity Futures Trading Commission (CFTC) Issues Guidance on New Filing Requirements |
Katten |
| Mar 22 2021 |
The SEC Clarifies Status of Institutional Family Offices for Purposes of Regulation Best Interest |
Katten |
| Oct 23 2020 |
Banking Agencies Issue Proposed Rule Addressing Role of Supervisory Guidance |
Katten |
| Oct 23 2020 |
ESMA Publishes Consultation Paper on Draft RTS Relating to CCPs |
Katten |
| Feb 29 2020 |
FINRA Releases Targeted Examination Letter for No Commission Brokers |
Katten |
| Oct 4 2021 |
Cautionary Tale: Commercializing ‘Street Cred’ |
Katten |
| Jul 12 2019 |
CFTC Report Concerning On-Venue and Cleared Swaps |
Katten |
| Oct 3 2022 |
Greener Pastures: Five Things to Consider When Leaving One Jurisdiction for Another |
Katten |
| Mar 26 2021 |
FINRA Updates - Corporate & Financial Weekly Digest, Week of March 26, 2021 |
Katten |
| Oct 30 2020 |
SEC Staff Issues No-Action Relief Addressing Customer Protection Rule Violations Despite the Objection of Two Commissioners |
Katten |
| Feb 19 2024 |
TMA Chicago Midwest Podcast Hosted by Paul Musser | Jack O'Connor Talks 'Success Through Service' [PODCAST] |
Katten |
| Mar 6 2020 |
Industry Groups and NFA Request Changes to Swap Dealer Capital Rules |
Katten |
| Dec 1 2017 |
FASB Ceases Work on Proposal To Amend Definition of “Materiality” for US GAAP |
Katten |
| Apr 20 2013 |
American Bankers Association (ABA) Endorses Bill to Mandate Examination Fairness |
Katten |
| Apr 2 2021 |
2021 Advisory Committee Overview and Engagement Notice |
Katten |
| Oct 10 2014 |
FINRA Proposes to Make Permanent the Limited Fee Waiver Pilot Program for TRACE Data |
Katten |
| Mar 2 2014 |
CFTC Issues Advisory on Compliance with Gramm-Leach-Bliley Act Security Safeguards - Commodity Futures Trading Commission |
Katten |
| May 25 2018 |
CFTC Issues Proposed Rule Amends Margin Requirements & CFTC Issues Virtual Currency Advisory for Exchanges and Clearinghouses |
Katten |
| Mar 10 2023 |
SEC Clarifies 'Pay versus Performance' Disclosure Rules |
Katten |
| Jun 3 2016 |
National Futures Association Proposes Late Filing Fee for NFA Form PQR and Form PR |
Katten |
| May 19 2017 |
CFPB Requests Information Regarding the Small Business Lending Market |
Katten |
| Dec 4 2015 |
No-Action Relief Granted to Foreign Branch of US Swap Dealer for Transaction-Level Requirements |
Katten |
| Nov 16 2020 |
CFTC Adopts New Rules on Position Limits for Derivatives |
Katten |
| May 29 2020 |
CFTC Issues COVID-19 Commodity ETPs Customer Advisory & Holds Commission Meeting |
Katten |
| Mar 15 2014 |
Commodity Futures Trading Commission (CFTC) to Host Roundtable on Commodity Pool Operator Risk Management Practices |
Katten |
| Dec 15 2017 |
CFTC Staff Issues Interpretive Guidance Clarifying Commodity Trading Advisor Registration Requirements Resulting from the European Union’s MiFID II Research Compensation Provisions for Investment Managers |
Katten |
| Dec 11 2015 |
Federal Highway Bill Eliminates Annual Privacy Notice Requirement for Financial Institutions |
Katten |
| Feb 19 2019 |
Bridging the Weeks by Gary DeWaal: February 4 – February 15 and February 19, 2019 (Cryptosecurities, Cryptocurrencies, Examination Priorities Redux) [Video] |
Katten |
| Aug 12 2019 |
Bridging the Week by Gary DeWaal: August 5 - 9, and August 12, 2019 (Securities or Not; Swap Dealer Misleading Information; Market Abuse) |
Katten |
| Jun 17 2016 |
CFTC Approves Rules Amending Cleared Swaps Data Reporting and Recordkeeping Requirements |
Katten |
| Nov 20 2020 |
CFTC Extends Temporary Swap Data Reporting Relief for Certain International Swap Dealers and Major Swap Participants |
Katten |
| Jun 2 2017 |
Federal Banking Agencies Issue Advisory on the Availability of Appraisers |
Katten |
