| Jun 5 2015 |
National Futures Association (NFA) Proposes Amendments to Its Articles of Incorporation |
Katten |
| May 18 2013 |
SEC Reopening Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps |
Katten |
| Oct 25 2014 |
SEC Sanctions Athena in First High-Frequency Trading Manipulation Case |
Katten |
| Jun 9 2018 |
FINRA Proposes Rule Change Regarding ATS Reporting of Transactions to TRACE |
Katten |
| Oct 28 2014 |
Better Culture; Accountants; London Whale; Asset-Backed Securities; Collusive Activity; Cybersecurity - Bridging the Week: October 20-27, 2014 [VIDEO] |
Katten |
| Dec 4 2015 |
Office of Comptroller of Currency Announces Calendar Year 2016 Fees and Assessments Structure |
Katten |
| Mar 21 2014 |
SEC (Securities and Exchange Commission) Approves New FINRA (Financial Industry Regulatory Authority) Supervision Rules |
Katten |
| Apr 16 2021 |
SEC Statements Regarding SPACs Address Warrants and Projections |
Katten |
| Oct 14 2022 |
Six Takeaways From FINRA's Revised Sanction Guidelines |
Katten |
| May 26 2017 |
CFTC Approves Amendments to Recordkeeping Requirements |
Katten |
| Jun 12 2015 |
Crowdfunding, Public Company Disclosure and more: Meeting of the SEC Advisory Committee on Small and Emerging Companies |
Katten |
| Apr 23 2021 |
CFTC Issues Conditional Relief From Reporting Fully Collateralized Binary Option Data to Swap Data Repositories |
Katten |
| Nov 7 2014 |
CFTC Proposes to Revise Residual Interest Deadline for FCMs |
Katten |
| Jun 2 2017 |
CFTC Extends No-Action Relief to SEFs and DCMs From Certain Error Correction Regulations |
Katten |
| Dec 15 2015 |
Proposed CFTC Regulation To Impact Algorithmic Trading and Traders |
Katten |
| Jun 22 2015 |
Bridging the Week: June 15 to 19 and 22, 2015 (Another CCO Sued; Atypical Price Activity; Unauthorized Swaps; Illegal Swaps; Manipulation) |
Katten |
| Apr 7 2014 |
Agencies Issue Denial of Service Guidance and Guidance on ATMs |
Katten |
| Dec 18 2015 |
CFTC Adopts Final Margin Rules for Swap Dealers |
Katten |
| Jun 23 2013 |
Chicago Mercantile Exchange (CME) Group Introduces Self-Match Prevention |
Katten |
| Mar 23 2020 |
Bridging the Week by Gary DeWaal: March 16 - 20 and March 23, 2020 (COVID-19) |
Katten |
| Dec 4 2020 |
CFTC MOU for Supervision of Cross-Border Firms & Timing Requirements for Certain SEF Reports |
Katten |
| Jun 27 2016 |
Bridging the Week: Brexit; Reg AT; Reserve and Control; Hacking; Manipulation; Block Trades; EFRPs |
Katten |
| Jun 30 2018 |
SEC Proposes New Approval Process for Certain ETFs |
Katten |
| Aug 30 2019 |
SEC Increases Registration Statement Filing Fees for Fiscal Year 2020 |
Katten |
| Apr 16 2014 |
Foreign Listed Stock Index Futures and Options Approval Chart April 16, 2014 |
Katten |
| Dec 20 2016 |
Risk Retention in Commercial Mortgage-Backed Securities: Look Back and Look Forward |
Katten |
| Nov 19 2021 |
Five Commercial Real Estate Trends to Watch in the Wake of COVID-19 |
Katten |
| Jan 8 2016 |
Federal Bank Regulatory Agencies Release CRA Asset-Size Thresholds for Small and Intermediate Small Institutions |
Katten |
| Apr 27 2014 |
Securities and Exchange Commission (SEC) Division of Corporation Finance Issues New Compliance and Disclosure Interpretations (C&DIs) Relating to Social Media Use |
Katten |
| Jul 11 2016 |
SEC Approves NASDAQ’s ‘Golden Leash’ Disclosure Rule |
Katten |
| Oct 16 2023 |
The Manifold Compliance Challenges of Foreign Security Futures |
Katten |
| Jan 11 2016 |
Bridging the Week: January 4 – 8 and 11, 2016 (Spoofing; Sentinel Management; Steven A. Cohen; AML; Block Trades) |
Katten |
| Sep 13 2019 |
FINRA Issues Call for Candidates in Upcoming Small Firm Advisory Committee Election |
Katten |
| Nov 17 2022 |
2022 Year-End Estate Planning Advisory |
Katten |
| Jan 6 2017 |
NFA Updates the Forex Regulatory Guide |
Katten |
