| Mar 12 2018 |
Bridging the Weeks: February 26 to March 9 and March 12, 2018 (ICOs, Cryptocurrencies; Securities Exchanges; Moving the Money) [VIDEO] |
Katten |
| Feb 5 2021 |
2021 Report on FINRA’s Examination and Risk Monitoring Program |
Katten |
| Feb 28 2013 |
IRS and US Department of Labor Continue to Expand, Encourage and Simplify Correction Programs in 2013 Updates to Employee Plan Compliance Resolution System (EPCRS) and Delinquent Filer Voluntary Compliance Program (DFVCP) |
Katten |
| Nov 23 2013 |
Commodity Futures Trading Commission (CFTC) Provides Relief for Intended-to-Be-Cleared Swaps |
Katten |
| Aug 31 2020 |
CFTC Adds 22 Unregistered Foreign Entities to RED List & Opens Registration for Empower Innovation 2020 Event |
Katten |
| Mar 3 2013 |
Securities and Exchange Commission (SEC) 2013 Examination Priorities |
Katten |
| Mar 25 2016 |
Regulators Issue New Guidance Related to Certain Prepaid Cards |
Katten |
| Dec 20 2019 |
CFTC Approves Final and Proposed Rules for DCOs, Swap Dealers, Major Swap Participants and Other Market Participants |
Katten |
| Mar 20 2017 |
Bridging the Week: March 13 - 17 and March 20, 2017 (Tough Love; KISS; Third-Party Deposits; Segregation Breaches) |
Katten |
| Oct 5 2015 |
CFTC and Korean Regulators Sign MOU Regarding Cross-Border Clearing Organizations |
Katten |
| Sep 4 2020 |
SEC Stays Implementation of New NYSE Direct Listing Rules |
Katten |
| Dec 6 2013 |
NASDAQ Proposes Change to Listing Rules Regarding Compensation Committee Independence |
Katten |
| Mar 22 2015 |
CFE Amends Rules on ECRPs and Block Trades |
Katten |
| May 17 2019 |
FINRA Launches Initiative to Simplify Firms’ Digital Experience With FINRA, Facilitating More Efficient and Effective Compliance Programs |
Katten |
| Feb 19 2021 |
Structuring a PDP Loan to Protect the Lender From an Airline Bankruptcy |
Katten |
| Mar 18 2013 |
SEC (Securities and Exchange Commission) Risk Alert Identifies Common Adviser Custody Rule Deficiencies |
Katten |
| Mar 26 2015 |
FINRA Seeks Comment on Proposal Requiring Registration of Associated Persons Who Develop Algorithmic Trading Strategies |
Katten |
| Oct 16 2015 |
OCC Rescinds Capital Guidance |
Katten |
| Aug 3 2022 |
Futures Audit Trails Requirements: A Compliance Minefield? |
Katten |
| Oct 21 2016 |
SEC Approves FINRA’s TRACE Amendments for CMO Transactions |
Katten |
| Dec 20 2013 |
Federal Deposit Insurance Corporation (FDIC) Issues Latest Supervisory Insights Journal (Winter Edition) |
Katten |
| Sep 7 2014 |
Federal Banking Regulators Finalize Liquidity Coverage Ratio |
Katten |
| Oct 23 2015 |
Financial Regulators Adopt Final Margin Rules for Non-Cleared Swaps |
Katten |
| Jan 4 2014 |
Commodity Futures Trading Commission (CFTC) Issues No-Action Relief from Certain Swap Data Reporting Requirements |
Katten |
| Mar 30 2013 |
April 10 Deadline for Swap End User Legal Entity Identifier Requirement |
Katten |
| Apr 3 2015 |
CFTC Issues Relief to Swap Dealers Regarding Legacy SPV Swaps |
Katten |
| Dec 10 2018 |
Bridging the Week by Gary DeWaal: December 3 to 7 and December 10, 2018 (Smarter than Counterparties; Manipulation; Information Systems Security Programs) |
Katten |
| Apr 6 2015 |
Manipulation and Manipulative Device; Sue and Be Sued; Alleged Pastor Fraud; Transfer Trades - Bridging the Week: March 30 to April 3 and 6, 2015 |
Katten |
| Oct 28 2017 |
SEC Approves PCAOB Rule to Require Enhanced Audit Reports |
Katten |
| Sep 9 2021 |
Avoiding Flight Schedule Disruption When Replacing the Owner Trustee of a Leased Aircraft Registered in the United States |
Katten |
| Jan 11 2014 |
Judges Raise Concerns Regarding SEC (Securities and Exchange Commission) Conflict Minerals Rule at Appeal Hearing |
Katten |
| Apr 6 2013 |
Commodity Futures Trading Commission (CFTC) Staff Issues No-Action Letters |
Katten |
| Mar 5 2021 |
SEC Announces 2021 Examination Priorities |
Katten |
| Jan 15 2014 |
The New gTLD Program: Latest Updates on Brand Protection and the Trademark Clearinghouse |
Katten |
| Nov 4 2016 |
SEC Adopts Amendments to Rules 147 and 504, Adopts Rule 147A and Repeals Rule 505 |
Katten |
