| May 3 2019 |
CFTC Chair Proposes Relief for Phase 5 Initial Margin Implementation |
Katten |
| Sep 4 2020 |
SEC Stays Implementation of New NYSE Direct Listing Rules |
Katten |
| Mar 12 2018 |
Bridging the Weeks: February 26 to March 9 and March 12, 2018 (ICOs, Cryptocurrencies; Securities Exchanges; Moving the Money) [VIDEO] |
Katten |
| Dec 14 2023 |
FINRA Acts to Update its Advertising Rule |
Katten |
| Mar 20 2017 |
Bridging the Week: March 13 - 17 and March 20, 2017 (Tough Love; KISS; Third-Party Deposits; Segregation Breaches) |
Katten |
| Jan 18 2023 |
FTC Proposes Rule Banning Non-Competes With Workers |
Katten |
| Dec 22 2023 |
The SEC's Treasury Clearing Mandate |
Katten |
| Mar 22 2015 |
SEC Staff Issues New FAQs on Regulation SHO |
Katten |
| Oct 7 2015 |
The Court of Justice of the European Union Sinks the Safe Harbor Program |
Katten |
| Dec 12 2013 |
.Brand Registry Agreement Addendum Published for Public Comment |
Katten |
| Apr 1 2016 |
CFTC Approves Final Rule Providing Alternative to Fingerprinting for Foreign Natural Persons |
Katten |
| Apr 4 2016 |
Complex Regulation; Accessible Data; EFRPs; Blockchain; ISDAfix - Bridging the Week: March 28 – April 1, and 4, 2016 [VIDEO] |
Katten |
| May 20 2019 |
Bridging the Week by Gary DeWaal: May 13 –17 and May 20, 2019 (Bump Goes the Futures Orders; JAC Warns FCMs) |
Katten |
| Oct 17 2016 |
Bridging the Week: October 10 to 14 and October 17, 2016 (Coming to the US; Cross-Border; Liquidity Management; Insider Trading Supervision) |
Katten |
| Aug 29 2014 |
Commodity Futures Trading Commission (CFTC) Staff Issues Interpretation of Secured Amount Depository Requirements |
Katten |
| Aug 3 2022 |
Futures Audit Trails Requirements: A Compliance Minefield? |
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 |
| Oct 28 2017 |
SEC Approves PCAOB Rule to Require Enhanced Audit Reports |
Katten |
| Sep 19 2014 |
IRS Considers Whether Management Fees of an LLC Are Subject to Self-Employment Tax |
Katten |
| Nov 2 2015 |
Bridging the Week: October 26 to 30 and November 2, 2015 (Crowdfunding; Malfeasance; TRACE; Overcharges) |
Katten |
| Feb 26 2021 |
FINRA Provides Additional FINRA Exams Online |
Katten |
| Apr 14 2017 |
SEC Division of Corporation Finance Provides Update on Conflict Minerals Rule |
Katten |
| Jun 7 2019 |
ISDA Publishes Initial Margin Implementation Guidance for Financial End Users |
Katten |
| Nov 7 2016 |
Bridging the Week: October 31 to November 4 and November 7, 2016 (Regulation AT Amended; Audit Partners; EFRPs; Form 40; Brexit) [VIDEO] |
Katten |
| May 6 2020 |
Capital Raising During the COVID-19 Pandemic: Offering Structures for a Volatile Market |
Katten |
| Nov 6 2015 |
CFTC Staff Publishes Responses to Frequently Asked Questions Regarding Commission Forms CPO-PQR and CTA-PR |
Katten |
| Jan 26 2014 |
Federal Financial Institutions Examination Council (FFIEC) Revises Items to Be Reported on Call Reports; Items Include Remittances and Websites Soliciting Deposits |
Katten |
| Dec 21 2018 |
SEC Adopts Transaction Fee Pilot for NMS Stocks |
Katten |
| Nov 9 2015 |
Bridging the Week: November 2 - 6 and 9 2015 (Spoofing Conviction; Financial Crimes; CCOs; Tweets and Manipulation) |
Katten |
| Apr 20 2018 |
CFTC’s Division of Swap Dealer and Intermediary Oversight Extends Exemptive Relief From CFTC Regulations 4.7 and 4.2 Requirement to Prepare Financial Statements in Accordance With US GAAP |
Katten |
| Apr 21 2017 |
CFTC Extends Previously Granted No-Action Relief for Swap Dealers Complying With EU Requirements |
Katten |
| Nov 11 2016 |
Commodity Futures Trading Commission (CFTC) Approves Supplemental Proposal to Regulation AT |
Katten |
| Feb 1 2020 |
Volcker Rule Regulators Propose Changes to Covered Fund Rules |
Katten |
| Apr 25 2017 |
EPA Issues Notice That It Will Reconsider Oil and Gas Methane Emissions Rule |
Katten |
| Oct 3 2014 |
Commodites Futures Trading Commission (CFTC) Extends Relief to Derivatives Clearing Organizations (DCO) and Their Clearing Members from Requirements for Credit Default Swaps (CDS) Clearing-Related Swaps |
Katten |
