| Sep 26 2014 |
SEC Releases Strategic Plan for 2014–2018 |
Katten |
| Feb 8 2020 |
FINRA Requests Comments on Proposed Amendments to the Capital Acquisition Broker Rules |
Katten |
| Nov 21 2015 |
CFTC To Hold Open Commission Meeting on Automated Trading |
Katten |
| Apr 28 2017 |
Final Report Issued by SEC-Government-Business Forum on Small Business Capital Formation |
Katten |
| Jan 31 2014 |
SEC (Securities and Exchange Commission) Division of Corporation Finance Issues Three C&DIs (Compliance and Disclosure Interpretations) Relating to “Unbundling Rule” |
Katten |
| Oct 3 2014 |
National Futures Association (NFA) Issues Notice Regarding Commodity Pool Operators (CPO) and Commodity Trading Advisors (CTA) Reports and Filing Requirements |
Katten |
| Feb 5 2014 |
Federal Trade Commission (FTC) Settles With Businesses Who Allegedly Misrepresented US-EU Safe Harbor Certification |
Katten |
| Nov 17 2017 |
SEC Enforcement Division Issues Report on Priorities and Fiscal Year 2017 Results |
Katten |
| May 13 2016 |
SEC Deputy Chief Accountant Discusses Use of Non-GAAP Measures |
Katten |
| Feb 21 2020 |
FINRA Requests Comment on Enhancements to the Continuing Education Program for Securities Industry Professionals |
Katten |
| Jan 22 2019 |
Bridging the Week by Gary DeWaal: January 14 – 18 and January 22, 2019 (Hacking at the SEC; Digital Assets; Spoofing) [Video] |
Katten |
| Dec 2 2016 |
NFA Proposes Changes to Forex Customer Disclosure Requirements |
Katten |
| Oct 30 2020 |
CFTC’s Enforcement Division Issues Guidance on Recognition of Self-Reporting, Cooperation and Remediation & Chairman Statement on Use of Staff Letters & Guidance |
Katten |
| Dec 1 2017 |
SEC Division of Corporation Finance Issues New C&DI on Safeguards for Electronic Delivery of Information under Rule 701 |
Katten |
| Jul 13 2019 |
FINRA Issues Regulatory Notice Supplementing Prior Guidance on Credit for Extraordinary Cooperation |
Katten |
| Feb 21 2014 |
OTC Markets Proposes Amendments to OTCQX Rules and New Rules for US Banks - Re: Over-the-counter Financial Trading Markets |
Katten |
| Feb 1 2019 |
CFTC Issues No-Action Relief From Certain Position Aggregation Requirements |
Katten |
| Apr 23 2013 |
More Securities Fraud Cases Now Involve Foreign Regulators |
Katten |
| Mar 6 2020 |
SEC Amends Disclosure Rules for Registered Debt Offerings |
Katten |
| Feb 6 2019 |
FINRA 529 Plan Share Class Initiative Encourages Firms to Self-Report Violations |
Katten |
| Oct 10 2014 |
Director of SEC Division of Corporation Finance Gives Speech on Securities Disclosure |
Katten |
| Mar 11 2014 |
Draft Food and Drug Administration (FDA) Guidance on Real-Time Promotional Statements Made Via Social Media |
Katten |
| Oct 17 2014 |
Commodity Futures Trading Commission (CFTC) Provides Additional Relief to Certain Delegating Commodity Pool Operators (CPOs) |
Katten |
| Jun 3 2016 |
Consumer Financial Protection Bureau Releases Proposed Payday Rules |
Katten |
| May 26 2017 |
New FX Code of Conduct |
Katten |
| Sep 18 2023 |
President Biden Issues Executive Order Targeting Certain Investments in China |
Katten |
| Mar 14 2014 |
NASDAQ Launches Marketplace for Private Companies |
Katten |
| Jun 5 2015 |
National Futures Association (NFA) Proposes Amendments to Its Articles of Incorporation |
Katten |
| Apr 9 2021 |
SEC Corp Fin Staff Issues Statement on SPAC Transactions |
Katten |
| Oct 25 2014 |
SEC Sanctions Athena in First High-Frequency Trading Manipulation Case |
Katten |
| Nov 20 2020 |
CFTC Unanimously Approves Final Rule for Granting Exemptions From DCO Registration |
Katten |
| Aug 2 2019 |
CFTC’s Division of Market Oversight Extends No-Action Relief from Position Aggregation Requirements |
Katten |
| Oct 28 2014 |
Better Culture; Accountants; London Whale; Asset-Backed Securities; Collusive Activity; Cybersecurity - Bridging the Week: October 20-27, 2014 [VIDEO] |
Katten |
| May 18 2013 |
Federal Reserve Requires 18 Largest US Bank Holding Companies to Submit Stress Test Results |
Katten |
| Jun 10 2016 |
SEC Adopts Amendment to Form 10-K Permitting the Summary of Business and Financial Information |
Katten |
