| Aug 18 2013 |
SEC Issues Risk Alert on Options Trading Used to Evade Short-Sale Requirements |
Katten |
| Jan 17 2015 |
New Law Aligns Clearing and Margin Exceptions for Swaps |
Katten |
| Aug 8 2017 |
Between Bridges: Federal Appeals Court Upholds Conviction and Sentencing of First Person Criminally Charged for Spoofing Under Dodd-Frank Prohibition |
Katten |
| Oct 18 2019 |
SEC Announces the Formation of Asset Management Advisory Committee |
Katten |
| Mar 22 2019 |
FINRA Issues Guidance on FOCUS Reporting for Operating Leases |
Katten |
| Dec 31 2012 |
National Futures Association "NFA" Provides Bylaw 1101 Guidance to Commodity Pool Operators of Investment Companies |
Katten |
| Feb 12 2016 |
FINRA Regulatory Notice Regarding Private Placements and Public Offerings Subject to a Contingency |
Katten |
| Aug 19 2016 |
CFTC Releases Swap Dealer De Minimis Exception Report |
Katten |
| Jan 29 2015 |
You Say “Tom‘ah’to,” I Say “Tom‘ay’to”: Determining the Correct Pronunciation of Uniquely Coined Trademarks |
Katten |
| Aug 14 2015 |
Federal Reserve Issues Clarification of Debit Card Interchange Rule in Response to Court Action |
Katten |
| Aug 18 2017 |
SEC Staff Issues Information Update for Advisers Filing Certain Form ADV Amendments |
Katten |
| Jan 5 2013 |
Commodity Futures Trading Commission "CFTC" Issues No-Action Letters |
Katten |
| Feb 1 2015 |
SEC Division of Corporation Finance Issues New C&DI Related to Resales Under Regulation S |
Katten |
| Sep 16 2013 |
SEC Grants Request for No-Action Relief with Respect to Multi-Day Pre-Fail and Post-Fail Credit Under Rule 204 of Regulation SHO |
Katten |
| Sep 7 2018 |
Amended FINRA Registration Rules To Take Effect October 1 |
Katten |
| Aug 21 2015 |
CFTC Proposes Cleared Swap Reporting Amendments |
Katten |
| Aug 25 2017 |
SEC Approves NYSE Amendments Regarding Notice Related to Dividends and Stock Distributions |
Katten |
| Feb 2 2018 |
FTC Releases Revised Hart-Scott-Rodino Filing Thresholds for 2018 |
Katten |
| Apr 7 2019 |
FCA and SEC Sign Updated Memoranda of Understanding |
Katten |
| Nov 8 2019 |
SEC Proposes New Amendments to Modernize Shareholder Proposal Rules |
Katten |
| Feb 26 2016 |
CFPB Issues Final Policy on No-Action Letters |
Katten |
| Sep 2 2016 |
SEC Adopts Amendments to Rules on Access to Data Obtained by Security-Based Swap Data Repositories |
Katten |
| Sep 1 2017 |
DOL Proposes 18-Month Extension of Transition Period for Compliance With ERISA "Fiduciary Investment Advice" Rule |
Katten |
| Jan 15 2021 |
Holding Foreign Companies Accountable Act Signed Into Law by President Trump |
Katten |
| Sep 24 2018 |
SEC Sues Asset Managers for Using Untested, Error Filled Quantitative Investment Models |
Katten |
| Jan 15 2021 |
2021 Biden Plan Estate Planning Advisory |
Katten |
| Nov 22 2019 |
ISS Releases 2020 Proxy Voting Guideline Updates |
Katten |
| Sep 18 2016 |
CFTC Staff Issues No-Action Letter Relating to Yieldbroker PTY Limited’s Relief From SEF Registration Requirements |
Katten |
| Mar 11 2016 |
SEC Announces Creation of Office of Risk and Strategy |
Katten |
| Apr 24 2019 |
TTAB Continues to Rule on Genericness |
Katten |
| Apr 10 2020 |
BCBS and IOSCO Announce another Postponement of Swap Initial Margin |
Katten |
| Oct 21 2013 |
Life, Liberty and the Pursuit of Fraud: Using Wartime Powers to Extinguish Statutes of Limitations |
Katten |
| Sep 14 2015 |
Bridging the Weeks: August 31 to September 11 and September 14, 2015 (Spoofing, Individual Accountability, Cybersecurity, Audit Opinions, Hedging and Reporting) |
Katten |
| Apr 26 2019 |
Federal Reserve Proposes Revamped Standards for Determinations of Bank Control |
Katten |
| Oct 28 2013 |
Agencies Issue Guidance on Troubled Debt Restructurings |
Katten |
