| Nov 18 2016 |
CFTC Staff Issues Results of Supervisory Stress Test of Clearing Organizations |
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 |
| Oct 19 2020 |
SEC Proposal to Exempt Certain "Finders" from Broker-Dealer Registration May Allow Significant Capital Raising Activities by Non-Registered Persons |
Katten |
| Dec 21 2018 |
SEC Adopts Transaction Fee Pilot for NMS Stocks |
Katten |
| Nov 15 2015 |
Agencies Find Weaknesses in Shared National Credits |
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 |
| Sep 17 2021 |
New FTC Rules Leave Contemporary NAD/NARB Questions Unanswered |
Katten |
| Mar 12 2021 |
The Desirability of Registering a New International Interest When Extending the Term of a Lease |
Katten |
| Oct 23 2020 |
Banking Agencies Issue Proposed Rule Addressing Role of Supervisory Guidance |
Katten |
| Oct 23 2020 |
ESMA Publishes Consultation Paper on Draft RTS Relating to CCPs |
Katten |
| Aug 17 2023 |
SEC Proposes Rules for IAs/BDs Regarding Digital Engagement Practices (Gamification) and Proposes Amendments Regarding 'Robo-Adviser' Registration |
Katten |
| Feb 16 2014 |
Commodity Futures Trading Commission (CFTC) Guidance Relating to Trading on Swap Execution Facilities (SEFs) and Designated Contract Markets (DCMs) |
Katten |
| Oct 30 2020 |
SEC Staff Issues No-Action Relief Addressing Customer Protection Rule Violations Despite the Objection of Two Commissioners |
Katten |
| Jan 13 2019 |
NFA Amends Interpretive Notice Regarding ISSPs |
Katten |
| Feb 24 2014 |
Securities and Exchange Commission (SEC) to Examine Never-Before Examined Registered Investment Advisers |
Katten |
| May 9 2015 |
CFTC Determines That Wholly Owned Securitization SPVs of Captive Finance Companies May Elect End-User Exception |
Katten |
| Dec 1 2017 |
FASB Ceases Work on Proposal To Amend Definition of “Materiality” for US GAAP |
Katten |
| May 11 2015 |
Spoofing Redux; Virtual Currencies; Larger Tick Size; Block Trades; CCP Equivalency; SEC Forum Choices: Bridging the Week: May 4 to 8 and 11, 2015 |
Katten |
| Jan 22 2019 |
Interim IRS Guidance on New Executive Compensation Requirements for Tax-Exempt Entities Creates New Challenges |
Katten |
| Feb 19 2024 |
TMA Chicago Midwest Podcast Hosted by Paul Musser | Jack O'Connor Talks 'Success Through Service' [PODCAST] |
Katten |
| Feb 28 2020 |
Commissioner Peirce Dissents from SEC’s Rejection of Bitcoin-Based ETF |
Katten |
| Mar 3 2014 |
Supreme Court Rules that the Securities Litigation Uniform Standards Act Does Not Preempt State Law Claims |
Katten |
| Jul 12 2019 |
CFTC and SEC Propose Changes to Margin Requirements for Security Futures |
Katten |
| Mar 2 2020 |
Bridging the Weeks by Gary DeWaal: February 17 to 28, and March 2, 2020 (Sanctioned Again; Spoofing; Denied Again; Bitcoin ETF) |
Katten |
| May 15 2015 |
CFTC Requests Public Comment on Nodal Clear’s DCO Application |
Katten |
| Mar 9 2020 |
Bridging the Week by Gary DeWaal: March 2 - 6, and March 9, 2020 (COVID-19; Business Continuity Plans; Capping AML Surveillance Alerts) |
Katten |
| May 12 2013 |
Securities and Exchange Commission (SEC) Reopening Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps |
Katten |
| Nov 16 2020 |
CFTC Adopts New Rules on Position Limits for Derivatives |
Katten |
| May 23 2015 |
CFTC Announces Agenda For Upcoming Market Risk Advisory Committee Meeting |
Katten |
| Jun 1 2016 |
Between Bridges (June 1, 2016): CFTC to Hold Public Roundtable Regarding Regulation AT; Five Topics To Be Discussed Including Who Should be Covered |
Katten |
| Mar 14 2014 |
Financial Industry Regulatory Authority (FINRA) Proposes to Amend Rules 2210 and 2214 |
Katten |
| May 29 2020 |
CFTC Issues COVID-19 Commodity ETPs Customer Advisory & Holds Commission Meeting |
Katten |
| Jun 3 2016 |
CFTC Grants Registration to Three Swap Execution Facilities |
Katten |
| Dec 15 2017 |
CFTC Staff Issues Interpretive Guidance Clarifying Commodity Trading Advisor Registration Requirements Resulting from the European Union’s MiFID II Research Compensation Provisions for Investment Managers |
Katten |
| May 18 2013 |
Federal Deposit Insurance Corporation (FDIC) Division Director James R. Wigand Testifies on Cross-Border Resolution Plans |
Katten |
