| May 15 2020 |
FINRA Proposes Rule Change to Temporarily Amend Certain Timing, Method of Service and Other Procedural Requirements in FINRA Rules |
Katten |
| Oct 30 2020 |
CFTC Announces Organizational Changes & Open Commission Meeting |
Katten |
| May 12 2017 |
CFPB’s Prepaid Cards Rule Escapes Coverage Under the Congressional Review Act |
Katten |
| Mar 3 2014 |
Supreme Court Rules that the Securities Litigation Uniform Standards Act Does Not Preempt State Law Claims |
Katten |
| Feb 29 2020 |
FINRA Releases Targeted Examination Letter for No Commission Brokers |
Katten |
| Jul 12 2019 |
CFTC Report Concerning On-Venue and Cleared Swaps |
Katten |
| Dec 8 2017 |
FINRA Requests Further Comments on the Effectiveness and Efficiency of Its Payments for Market Making Rule |
Katten |
| Mar 6 2020 |
Industry Groups and NFA Request Changes to Swap Dealer Capital Rules |
Katten |
| May 10 2013 |
SEC Roundtable Discusses Current Securities Law Topics at 33rd Annual Ray Garrett Jr. Corporate and Securities Law Institute |
Katten |
| May 22 2020 |
NYSE Provides Temporary Relief From Shareholder Approval Requirements Due to COVID-19 |
Katten |
| Mar 10 2023 |
SEC Clarifies 'Pay versus Performance' Disclosure Rules |
Katten |
| Mar 14 2014 |
Securities & Exchange Commission (SEC) Proposes Rules to Enhance Oversight of Clearing Agencies |
Katten |
| Dec 13 2017 |
EPA Gains Assistant Administrator of Office of Enforcement and Regional Administrator for Region 6 |
Katten |
| Nov 13 2020 |
CFTC Issues Order of Registration to ICE Futures Abu Dhabi Limited to Permit Trading by Direct Access from the United States |
Katten |
| May 29 2015 |
Former Olympic Games Sponsor Settles With SEC for $25 Million Over FCPA Violations |
Katten |
| May 18 2013 |
Federal Deposit Insurance Corporation (FDIC) Division Director James R. Wigand Testifies on Cross-Border Resolution Plans |
Katten |
| May 25 2018 |
FINRA Proposed Rule Changes & Notice of Disclosure Review Enhancements |
Katten |
| Jun 3 2016 |
CFTC Grants Registration to Three Swap Execution Facilities |
Katten |
| May 29 2020 |
FINRA Amends Rules Related to Membership Application Program to Promote Payment of Arbitration Awards and Issues Regulatory Notice on Sales Practice Obligations With Respect to Oil-Linked Exchange-Traded Products |
Katten |
| Apr 6 2022 |
SEC Deals New Proposal to Expand Reach of Dealer Registration Requirements |
Katten |
| Dec 4 2015 |
No-Action Relief Granted to Foreign Branch of US Swap Dealer for Transaction-Level Requirements |
Katten |
| Jun 2 2013 |
SEC Order Against Institutional Shareholder Services Inc. (ISS) |
Katten |
| Oct 24 2014 |
AIFM Directive for US Private Fund Managers |
Katten |
| Nov 20 2020 |
FINRA Files Proposed Rule Change to Address Firms With History of Misconduct |
Katten |
| Nov 21 2020 |
CFTC Extends Relief for SEFs From Certain Block Trade Requirements |
Katten |
| Apr 8 2022 |
Katten Financial Markets and Funds Quick Take: April 2022 |
Katten |
| Jun 9 2013 |
Federal Reserve Equalizes Treatment of Foreign Banks Under Dodd-Frank Push Out Rules |
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 |
| Apr 13 2022 |
FDIC Requires Reporting of Crypto-Related Activities |
Katten |
| Dec 11 2015 |
Federal Highway Bill Eliminates Annual Privacy Notice Requirement for Financial Institutions |
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 |
| Feb 22 2019 |
FINRA Issues Information Notice Regarding Suspicious Email Sent to Member Firms |
Katten |
| Apr 8 2014 |
Supreme Court Inks Uniform Standing Test for Lanham Act False Advertising Claims |
Katten |
| Feb 25 2019 |
Bridging the Week by Gary DeWaal: February 19 – 22 and February 25, 2019 (Spoofer New Trial?; Utility Token?; Capital Rules To Discourage Clearing?) |
Katten |
