| Feb 24 2018 |
FCA and CFTC Enter Into Cooperation Agreement on FinTech |
Katten |
| Apr 26 2019 |
FINRA Publishes Consolidated Criteria to Designate Firms for Mandatory Participation in FINRA’s Business Continuity/Disaster Recovery Testing |
Katten |
| Jul 28 2021 |
FINRA Clarifies Guidance on Best Execution and Payment for Order Flow |
Katten |
| Oct 22 2018 |
Bridging the Week by Gary DeWaal: October 15 - 19 and October 22, 2018 (Bitcoin Fraud; Smart Contracts; Actual Delivery; Reg AT) |
Katten |
| Feb 27 2015 |
CFTC Reopens Comment Period for Position Limits Proposals |
Katten |
| Jul 19 2022 |
Financial Markets and Funds Quick Take | Issue 4 |
Katten |
| Sep 30 2016 |
From Implementation to Takeoff: Nine Months Later, OFAC Issues Licenses to Boeing and Airbus for Commercial Aircraft Deals With Iran |
Katten |
| Mar 2 2018 |
CFTC Extends Exemptive Relief From Quarterly Account Statements |
Katten |
| Mar 3 2015 |
US Senate Holds Hearing on Transition and Future of Multistakeholder Model: Update on IANA Stewardship Transition and ICANN Accountability |
Katten |
| Jul 25 2014 |
SEC Settles Third-Party Insider Trading Claim Against New York Investor Relations Executive |
Katten |
| Oct 7 2016 |
FINRA To Publish Block-Size Trade Data for ATS Trades |
Katten |
| Feb 5 2021 |
FINRA Amendments and Updates for February 5, 2021 |
Katten |
| Sep 26 2015 |
CFTC Issues Guidance on “Firm or Forced Trades” Process |
Katten |
| Dec 20 2019 |
SEC Announces Proposed Amendments to the Definitions of “Accredited Investor” and “Qualified Institutional Buyer” |
Katten |
| Sep 13 2020 |
CFTC Issues Guidance on Compliance Program Evaluations in Connection With Enforcement Matters |
Katten |
| Jan 26 2022 |
Latest Retailer Tech Trends Go Beyond Cookies to Include The Fast-Growing Metaverse |
Katten |
| Mar 16 2013 |
Futures Commission Merchants "FCMs" Required to Have Chief Compliance Officer by March 29 |
Katten |
| Oct 8 2017 |
SEC Approves FINRA Rule Change to Subject Capital Acquisition Brokers to Pay-to-Play Rules |
Katten |
| Apr 8 2016 |
Commodity Futures Trading Commission Proposes Guidance on Electric Power and Natural Gas Contracts |
Katten |
| May 17 2019 |
SEC Proposes Amendments to Update the Accelerated and Large Accelerated Filer Definitions |
Katten |
| Aug 22 2014 |
ISDA (International Swaps and Derivatives Association) Publishes Protocol for 2014 Credit Derivatives Definitions |
Katten |
| Feb 4 2022 |
ESG and Tax: Don't Be Left Behind |
Katten |
| Apr 1 2013 |
New International Swaps and Derivatives Association (ISDA) Protocol for Swap Documentation |
Katten |
| May 24 2019 |
CFTC and SEC Participate in the Signing Ceremony for the IOSCO Enhanced Multilateral MOU Concerning Cross-Border Enforcement |
Katten |
| Jul 21 2022 |
Second Circuit Rejects Supreme Court? |
Katten |
| Mar 30 2015 |
Department of Interior Releases Revised Rules on Hydraulic Fracturing on Federal and Indian Lands |
Katten |
| Apr 6 2013 |
Commodity Futures Trading Commission (CFTC) Issues Rule Regarding Persons Associated with Multiple Swap Dealers or Major Swap Participants |
Katten |
| Sep 13 2014 |
First Bitcoin Swap Proposed |
Katten |
| Oct 1 2020 |
Maximizing Returns Through Effective Management of Engine Performance Restoration: Five Cases |
Katten |
| Apr 10 2017 |
DOL Issues 60-Day Delay on Fiduciary Advice Rule and Exemptions |
Katten |
| Oct 5 2020 |
SBA Consent Requirements for M&A Transactions with PPP Loans |
Katten |
| Jun 9 2019 |
SEC Adopts Rules and Interpretations To Enhance Protections and Preserve Choice for Retail Investors |
Katten |
| Sep 26 2014 |
House Passes Bill H.R. 5405 “Promoting Job Creation and Reducing Small Business Burdens Act” |
Katten |
| Nov 18 2016 |
CFTC Division of Market Oversight Reminds Market Participants of the Upcoming Expiration of Certain No-Action Relief From the Ownership and Control Final Rule |
Katten |
| Mar 12 2021 |
SEC Issues No Action Letter on Treatment of Reserved Powers Trust as Non-US Person by Non-US Investment Adviser for Registration Exemption |
Katten |
