| Jun 30 2013 |
Federal Reserve to Vote on Final Capital Rules |
Katten |
| Aug 30 2019 |
CFTC Seeks Nominations and Public Comment on Priorities for the Energy and Environmental Markets Advisory Committee |
Katten |
| May 5 2022 |
SEC Proposes Climate-Related Disclosure Requirements |
Katten |
| Jan 9 2016 |
CFTC Reminds SDs and MSPs of Swap Reporting Obligations |
Katten |
| Jun 21 2017 |
FINRA Proposes Rule Change Regarding Trade Modifiers and the Reporting of Transactions in US Treasury Securities |
Katten |
| Apr 18 2014 |
SEC (Securities and Exchange Commission) Issues FAQs on Rule 15c3-5 for Broker Dealers with Market Access |
Katten |
| Dec 5 2014 |
SEC Sets October 2015 Target Date for Certain Dodd-Frank and JOBS Act Rulemaking |
Katten |
| Jun 23 2017 |
CFPB Seeks Comment on Proposed Changes to Prepaid Rule |
Katten |
| May 14 2021 |
FINRA Shares Practices Firms Use to Protect Customers from Online Account Takeover Attempts and Opens Dispute Resolution Services |
Katten |
| May 12 2022 |
FTC Goes on Penalty Offense, Warns of Hefty Fines for Deceptive Advertising |
Katten |
| Jul 16 2013 |
Securities and Exchange Commission (SEC) Adopts and Proposes New Rules, Including Easing the Prohibition on General Solicitation |
Katten |
| Jul 15 2016 |
SEC Proposes Amendments To Update and Simplify Disclosure Requirements |
Katten |
| Jan 6 2017 |
NFA Updates the Forex Regulatory Guide |
Katten |
| Jul 22 2016 |
SEC Proposes Amendments To Update and Simplify Disclosure Requirements: A Closer Look |
Katten |
| Jul 18 2015 |
NFA Requires Notice From CPOs that Consolidate Filings of Subsidiary Pools |
Katten |
| Jan 13 2017 |
CFTC Proposes To Amend Recordkeeping Requirements in January 2017 |
Katten |
| Nov 12 2012 |
SEC to Extend Filing Deadlines for Filers Affected by Hurricane Sandy |
Katten |
| May 9 2014 |
Foreign Account Tax Compliance Act (FATCA) Transitional Relief and Extension of Time for the Implementation of New Account Procedures for Entity Investors |
Katten |
| Nov 25 2012 |
CFTC Proposes Swaps Report |
Katten |
| Jan 29 2016 |
CFTC Approves Registration to 18 Swap Execution Facilities |
Katten |
| May 16 2014 |
Financial Industry Regulatory Authority (FINRA) Proposes Changes to FINRA Rules 7410 and 2121 |
Katten |
| Jan 20 2017 |
FINRA Issues Report on Implications of Blockchain |
Katten |
| Jan 9 2015 |
CFTC Allows Swap Dealer’s CCO to Report to the Governing Body |
Katten |
| Jan 11 2015 |
CFTC Staff Issues Guidance Regarding Chief Compliance Officer Annual Reports |
Katten |
| Aug 13 2018 |
Bridging the Week by Gary DeWaal: August 6 to 10 and August 13, 2018 (Spoofing; Post-Trade Allocations; Wash Trades; Supervision; Cryptocurrency Activities) |
Katten |
| Oct 4 2019 |
SEC Proposes to Amend Quotation Rule for OTC Securities |
Katten |
| Jul 21 2017 |
FINRA Releases Additional Guidance With Respect To Enhanced Disclosure Requirements for Corporate and Agency Debt Securities Transactions |
Katten |
| Dec 3 2012 |
SEC Posts Small Entity Compliance Guide Regarding Conflict Minerals Disclosure |
Katten |
| May 15 2023 |
Navigating the Regulatory Landscape – SEC Adopts New Rules Requiring Increased Disclosure on Stock Buybacks – Including Quarterly Reporting of Daily Repurchase Activity |
Katten |
| Nov 14 2023 |
Copy and Paste: The SEC Adopts Security-Based Swap Execution Facility Rules that Closely Resemble Existing CFTC Swap Execution Facility Rules |
Katten |
| Feb 5 2016 |
CFPB Urges 25 Largest Banks To Do More To Create or Promote Deposit Accounts |
Katten |
| Mar 17 2019 |
NFA Issues Notices I-19-07 & I-19-08 |
Katten |
| Oct 11 2019 |
FINRA Provides Member Firms with New Reg BI and Form CRS Resources |
Katten |
| Aug 19 2013 |
Commodity Futures Trading Commission (CFTC) Issues Final Guidance on Cross-Border Application of Swap Regulations |
Katten |
| Dec 14 2012 |
National Future Association (NFA) Issues Guidance on Annual Affirmation Requirement for CPO and CTA Exemptions |
Katten |
