| Feb 27 2015 |
CFTC Staff to Host Public Roundtable on Recovery and Orderly Wind-Down of DCOs |
Katten |
| Oct 13 2018 |
NFA Bylaw 1303 Amendments To Take Effect October 31 |
Katten |
| Jul 11 2014 |
SEC Publishes Guidance for Investment Advisers and Proxy Advisory Firms Regarding Proxy Voting and Solicitation |
Katten |
| Dec 6 2019 |
US Banking Agencies Issue Statement on Alternative Date in Credit Underwriting |
Katten |
| Feb 23 2018 |
Supreme Court Limits Scope of Dodd-Frank Whistleblower Protections |
Katten |
| Feb 5 2013 |
Consumer Financial Protection Bureau (CFPB) Delays Remittance Rule |
Katten |
| Nov 2 2013 |
Commodity Futures Trading Commission (CFTC) Announces Mutual Acceptance of Approved Legal Entity Identifiers |
Katten |
| Jan 16 2022 |
US Supreme Court Reinstates Stay of OSHA Vaccination Requirement for Employers With 100+ Employees |
Katten |
| Sep 18 2016 |
CFTC Staff Issues No-Action Letter Relating to Yieldbroker PTY Limited’s Relief From SEF Registration Requirements |
Katten |
| Sep 21 2015 |
Bridging the Week: September 14 to 18 and 21, 2015 (Virtual Currencies; Large Trader Reports; Leverage Ratio; Penson; Double Jeopardy; LME Position Limits) |
Katten |
| Jan 3 2023 |
Treasury Releases Guidance on Electric Vehicle Tax Credits |
Katten |
| Nov 7 2013 |
Commodity Futures Trading Commission (CFTC) Proposes Revised Aggregation Rules |
Katten |
| Mar 11 2016 |
SEC Announces Creation of Office of Risk and Strategy |
Katten |
| Apr 10 2020 |
SEC Provides Guidance on Delays in Printing and Mailing of Full Sets of Proxy Materials |
Katten |
| Mar 2 2018 |
FINRA Requests Comment on Proposed New Rule Governing Outside Business Activities |
Katten |
| Feb 17 2013 |
Financial Industry Regulatory Authority (FINRA) Offers Changes to Proposed Rules Governing Markups, Commissions and Fees |
Katten |
| Jun 27 2023 |
A New Era for Continuation Fund Transactions: ILPA Issues New Guidance |
Katten |
| May 10 2019 |
SEC-Proposed Amendments to Financial Disclosures for Acquisitions and Dispositions of Businesses |
Katten |
| Jun 28 2023 |
Coinbase, Inc. v. Bielski: Interlocutory Appeals on the Question of Arbitrability Automatically Stay District Court Proceedings |
Katten |
| Mar 10 2017 |
ISS Updates Frequently Asked Questions for US Proxy Voting Policies and Procedures for 2017 |
Katten |
| Mar 10 2017 |
FINRA Proposes Rule to Revise Qualification and Registration Requirements |
Katten |
| Mar 21 2016 |
Bridging the Week: March 14 - 18, and 21, 2016 (Regulation AT; Equivalence Recognition; Fund Manager Misstatements; Conflicts of Interest; Trade Options) |
Katten |
| Jan 27 2022 |
Potential Pitfalls When Using Music in Social Media Marketing |
Katten |
| Nov 23 2013 |
Commodity Futures Trading Commission (CFTC) Announces Weekly Swaps Report |
Katten |
| Feb 5 2021 |
SEC Requests Comment on Potential Money Market Fund Reform Options Highlighted in President’s Working Group Report |
Katten |
| Nov 5 2018 |
New Proposed Rules Limit the Negative Tax Consequences of Section 956 "Deemed Dividends" |
Katten |
| Sep 29 2017 |
SEC Chairman Testifies Before Senate Banking Committee |
Katten |
| Mar 28 2016 |
Bridging the Week: March 21 - 25, and 28, 2016 (Spoofing; Position Limits; FINRA Authority; Large Trader Reports; Algorithmic Trading) |
Katten |
| Dec 6 2013 |
SEC Division of Corporation Finance Issues 14 New Compliance and Disclosure Interpretations (C&DIs) Relating to “Bad Actor” Rules |
Katten |
| Sep 4 2020 |
CFTC No-Action Letter 20-23: CFTC Provides Additional Relief to Market Participants Transitioning from LIBOR |
Katten |
| Apr 20 2020 |
Secondary Loan Trading Considerations in a COVID-19 World |
Katten |
| Feb 12 2021 |
NFA Publishes Series of Member Notices Related to Common Deficiencies and Other Regulatory Matters |
Katten |
| Jan 10 2020 |
SEC Proposes Changes to Market Data Plans |
Katten |
| Mar 9 2013 |
Supreme Court Denies Securities and Exchange Commission (SEC) Extra Time to Bring Enforcement Actions for Civil Penalties |
Katten |
| Mar 30 2015 |
Department of Interior Releases Revised Rules on Hydraulic Fracturing on Federal and Indian Lands |
Katten |
